System and method for mapping end user identifiers to access device identifiers

ABSTRACT

The present system uses point-to-point data links between intelligent network elements located in the feeder/distribution network to provide reliable, secure, bi-directional broadband access. Digital signals, or messages, are terminated at the intelligent network elements, switched and regenerated for transmission across additional upstream or downstream data links as needed to connect a home to a headend or router. Messages indicative of an end user routing ID (RID) are identified and the information extracted for user with successive messages. In this manner, the data links are made over relatively short runs of coax cable, which can provide greater bandwidth than the typical end-to-end feeder/distribution connection between a home and the headend or optical network unit.

RELATED APPLICATIONS

This application is a continuation of U.S. patent application Ser. No.11/179,849, filed Jul. 11, 2005, which is a continuation of U.S. patentapplication Ser. No. 09/952,480, filed Sep. 13, 2001 now U.S. Pat. No.6,948,000, which claims the benefit of U.S. Provisional Application No.60/234,682, filed Sep. 22, 2000 and U.S. Provisional Application No.60/278,811, filed on Mar. 26, 2001. This application is co-pending withU.S. patent application Ser. No. 09/952,374, entitled “Broadband Systemwith Intelligent Network Devices,” U.S. patent application Ser. No.09/952,482, entitled “Network Architecture for Intelligent NetworkElements,” U.S. patent application Ser. No. 09/952,479, entitled “Systemand Method of Assigning Network Data Packet Header,” U.S. patentapplication Ser. No. 09/952,327, entitled “System and Method for CallAdmission Control,” U.S. patent application Ser. No. 09/952,373,entitled “System and Method for Message Transmission Based onIntelligent Network Element Device Identifiers,” U.S. patent applicationSer. No. 09/952,207, entitled “Broadband System Having RoutingIdentification Assignment,” U.S. patent application Ser. No. 09/952,306,entitled “Broadband System Having Routing Identification Assignment,”U.S. patent application Ser. No. 09/952,321, entitled “Broadband Systemwith Topology Discovery,” U.S. patent application Ser. No. 09/952,322,entitled “Broadband System with QOS Based Packet Handling,” U.S. patentapplication Ser. No. 09/952,381, entitled “Broadband System withTransmission Scheduling and Flow Control,” and U.S. patent applicationSer. No. 09/952,481, entitled “Broadband System with Traffic Policingand Transmission Scheduling” all filed on Sep. 13, 2001. The entireteachings of the above applications are incorporated herein byreference.

BACKGROUND

Data networking technology has witnessed tremendous growth over the pastdecade, and is ready to take off in an unprecedented manner as newerservices and applications become available to the home and businessuser. However, most of this development and growth has been in thebackhaul networks where high capacity routers and ultra-high capacityoptical links have created a truly broadband infrastructure. Theso-called last mile—the access link connecting the user to the backhaulinfrastructure—remains a bottleneck in terms of the bandwidth andservice quality it affords the end-user. It is possible to provide ahigh quality, high bandwidth access medium by taking “fiber to thehome.” However, such a solution is inordinately expensive from theservice provider's perspective. Alternate solutions such as ADSL(Asymmetric Digital Subscriber Line) and DOCSIS (Data Over Cable SystemInterface Specification) based cable access, which make use of theexisting access infrastructure, are asymmetric in the bandwidth theyprovide in the upstream and downstream directions.

The typical communication network deployed today by cable televisionservice providers uses hybrid fiber/coax (HFC) technology. An example ofsuch a network is shown in FIG. 1. The network includes a headend 10connected to an optical network unit (ONU) 12 over optical fiber cable11 using analog transmission, trunk amplifiers 14, taps 16, lineextenders 18 and coax cable 20 (feeder 22, distribution 24 and drop 26connected to homes 28). The network is considered hybrid because theconnection between the ONU and the headend uses optical fiber cable in aphysical star or point-to-point configuration while the connectionsbetween the ONU and the homes use coax cable in a tree and branchtopology.

An HFC network with a single ONU typically serves anywhere from 500 to2000 homes. The feeder portion 22 includes trunk amplifiers 14 that arespaced every 2000 to 3000 feet. In the distribution portion 24, taps 16are added as needed to serve homes passed by the distribution coax cable20. A tap typically serves between 2 and 8 homes to connect toindividual homes over drops 26 that are up to 400 feet in length. Lineextenders 18 are added in the distribution to boost the signals asneeded.

The tree and branch feeder/distribution portions 22 24 were designedoriginally for downstream broadcast signal distribution. For example,each of the trunk amplifiers, line extenders and taps was designed forhandling downstream signals. Nevertheless, today's networks have beenadapted to provide upstream signal transmission also. FIG. 2 shows thetypical frequency spectrum for upstream and downstream transmission inthe network. Downstream transmission of analog signals from the ONU 12to the homes 28 generally occupies a bandwidth range that starts at 55MHz and ends at 550, 750 or 860 MHz, depending on the type of networkequipment used. The downstream analog bandwidth is divided into 6 MHzchannels (8 MHz in Europe). The upstream transmission from the homes 28to the ONU 12 is usually specified to occupy the bandwidth range between5 and 45 MHz. The DOCSIS protocol has been developed for handlingbi-directional signal transmission. Newer systems also use a band offrequencies located above the analog downstream band to providedownstream digital services. These digital services are delivered in 6MHz channels at a typical data rate of 25 Mbps.

There are several problems that can occur with the upstream signaltransmission, namely, ingress noise, variable transmission loss andfrequency dispersion. Ingress noise in the upstream direction is aproblem that is due primarily to poor and irregular grounding of thedrop coax cable terminated at the home. Because of the tree and branchtopology, homes at the far end of the network experience much greaterloss than do the homes that are near to the headend/ONU. In addition,the impulse response can be very different from home to home due toreflections. The variable loss and variable impulse response requiresthe use of complex signal equalization at the receiver located at theheadend/ONU. This equalization can require on the order of millisecondsto converge and can only correct for flat loss in the cable plant. Todeal with the frequency dispersion, the DOCSIS protocol may divide theupstream signal into subchannels, such as 10 or 20 subchannels of 1 MHzbandwidth each and uses Quadrature Phase-Shift Keying (QPSK) or 16 QAM(Quadrature Amplitude Modulation) signal modulation. Each suchsubchannel operates at about 1.5 Mbps for a total upstream bandwidth onthe order of 10 to 20 Mbps. Since the upstream bandwidth is sharedtypically by about 500 homes, a DOCSIS modem at the home typically isrestricted to a maximum upstream data rate of 100 Kbps.

As cable service providers modernize their network plant, they havebegun to lay optical fiber from the headend to the trunk amplifiers 14.Their intent has been to separate the DOCSIS based digital data onto anoptical fiber that is separate from that which carries the analog videosignals. In addition, Cable Modem Termination System (CMTS)functionality has been introduced at the trunk amplifiers to allow thecustomers on each distribution segment to access the DOCSIS bandwidth.However, this approach still suffers from limited bandwidth in both theupstream and downstream directions. Furthermore, this approach continuesto suffer from performance problems caused by ingress and the quality ofservice and delay problems caused by a contention based access scheme inthe upstream direction. In addition, due to the shared medium nature ofthe cable plant, privacy and security are very big concerns in theDOCSIS specification. In such systems it is possible for a customer onthe shared medium to receive and decipher unencrypted data from othercustomers.

Maintaining optimal performance of the network elements can be achallenge in today's networks. For example, trunk amplifiers and lineextenders can drift which then requires manual measurements andrealignments in the field. Component failure in the feeding branches ofthe existing system can render an entire neighborhood out of service. Inaddition, service provisioning requires manual labor in the field.Current network repair is primarily done in a reactionary mode, promptedby phone calls from affected customers.

SUMMARY

The requirements of broadband applications and services continue tostress the abilities of today's communication networks. In particular,the upstream requirements of next generation applications are notsupported in scale by existing ADSL or cable systems. There is a needfor an access technology that can expand the bandwidth available to theend user to a level that is consistent with the capacity of the opticalnetwork core such that a true peer-to-peer broadband internet can berealized.

The above and other problems are solved by the present system, whichuses point-to-point data links between intelligent network elementslocated in the feeder/distribution network to provide reliable, secure,symmetric, bi-directional broadband access. Digital signals, ormessages, are terminated at the intelligent network elements, switchedand regenerated for transmission across additional upstream ordownstream data links as needed to connect a home to a headend orrouter. Messages indicative of an end user routing ID (RID) areidentified and the information extracted for user with successivemessages. In one embodiment, the present system provides an overlay ontothe existing cable television network such that the point-to-point datalinks are carried on the cable plant using bandwidth that resides abovethe standard upstream/downstream spectrum. The intelligent networkelements can be co-located with or replace the standard network elements(i.e., trunk amplifiers, taps, line extenders, network interface at thehome) to take advantage of existing network configurations. The standardnetwork elements can be selectively replaced by the intelligent networkelements in an incremental approach. In this manner, the data links aremade over relatively short runs of coax cable, which can provide greaterbandwidth than the typical end-to-end feeder/distribution connectionbetween a home and the headend or optical network unit.

The bandwidth on a distribution portion in an embodiment of theinvention is about 100 Mbps and is shared by only about 50 to 60 homes.The point-to-point nature of the present system allows a user to operatewith statistically multiplexed rates on the order of an average of 2Mbps while peaking up to 100 Mbps occasionally. By increasing thetransmission rates in the feeder and distribution portions, still higheruser rates are possible. For example, increasing the feeder distributionbandwidth to 10 Gbps using separate fiber feeder and increasing thedistribution bandwidth to 1 Gbps using 1 Gbps Ethernet or other RFtechnologies allows user rates at the home on the order of 100 Mbps. Itshould be understood that while embodiments are described herein whichemploy hybrid fiber/coax cable plant, the principles of the presentinvention are applicable to alternate embodiments, which use all fibercable in the feeder/distribution in tree and branch topologies.

In accordance with the present invention, an intelligent network elementincludes a data switch, at least two transceivers and a processor. In anembodiment, the data switch is a multiport Layer 2 data switchcontrolled by the processor and the transceiver comprises 100BaseT or 1Gbps Ethernet or other data transmission technologies. The transmitterinput and the receiver output are connected to respective output andinput ports of the Layer 2 data switch. The transmitter output and thereceiver input are coupled to the coax cable plant through respective upand down converters. The transmitters and receivers terminate datalinks, which connect with other upstream, or downstream intelligentnetwork elements. The Layer 2 data switch multiplexes messages receivedon the data links across the multiple ports.

The present invention provides a truly broadband access medium.Components are capable of being inserted into an existing HFC cableinfrastructure to convert that infrastructure into a truly broadband,Quality of Service (QoS) enabled access medium. The present inventionoffers cable service providers a low cost solution that enables them toprovide to the home and small business users a high quality, highbandwidth access medium capable of delivering next generation services.The present approach also provides immediate data security starting atthe customer drop. Since all of the network elements are addressable, aproactive rather than reactive maintenance approach is made possible. Inaddition, a switch-bypass capability incorporated in the intelligentnetwork elements can be automatically invoked in the event of componentmalfunction thereby drastically reducing system unavailability tocustomers in a given neighborhood.

BRIEF DESCRIPTION OF THE DRAWINGS

The foregoing and other objects, features and advantages of theinvention will be apparent from the following more particulardescription of preferred embodiments of the invention, as illustrated inthe accompanying drawings in which like reference characters refer tothe same parts throughout the different views. The drawings are notnecessarily to scale, emphasis instead being placed upon illustratingthe principles of the invention.

FIG. 1 illustrates a conventional hybrid fiber/coax cable televisionfeeder/distribution network.

FIG. 2 shows the typical frequency spectrum for upstream and downstreamcommunications over the network of FIG. 1.

FIG. 3 illustrates an embodiment of a network configuration ofintelligent network elements in accordance with the present inventionfor providing point-to-point data links between intelligent networkelements in a broadband, bidirectional access system.

FIG. 4 shows additional frequency spectrum included for upstream anddownstream communications over a first embodiment of the network of FIG.3.

FIG. 5 shows additional frequency spectrum included for upstream anddownstream communications over a second embodiment of the network ofFIG. 3.

FIG. 6 is a block diagram of interfaces to an optical distributionswitch.

FIG. 7 is a block diagram of interfaces to a network distributionswitch.

FIG. 8 is a block diagram of interfaces to a subscriber access switch.

FIG. 9 is a block diagram of interfaces to a network interface unit.

FIG. 10 is a block diagram of an embodiment of a network element for thenetwork of FIG. 3.

FIG. 11 is a diagram of a frame structure for use in the network of FIG.3.

FIG. 12A illustrates a data phase portion of the frame structure of FIG.11.

FIG. 12B illustrates an out-of-band (OOB) data/signaling section of thedata phase portion of FIG. 12A.

FIG. 13 is a block diagram of a transmitter of the network element ofFIG. 10.

FIG. 14 is a block diagram of a receiver of the network element of FIG.10.

FIG. 15 is a timing diagram showing the states in the receiver of FIG.14.

FIG. 16 is a block diagram of a PHY device of the network element ofFIG. 10.

FIG. 17 is a block diagram of a first embodiment of an RF complex.

FIG. 18 is a block diagram of a second embodiment of an RF complex.

FIG. 19 illustrates a packet structure.

FIG. 20 illustrates a header structure for the packet of FIG. 19.

FIG. 21 illustrates a DHCP message structure.

FIG. 22 illustrates message flow for tag assignment.

FIG. 23 illustrates DHCP options fields.

FIG. 24 illustrates DHCP options fields at an originating networkelement.

FIG. 25 illustrates DHCP options fields at an intermediate networkelement.

FIG. 26 illustrates downstream message processing at an NIU.

FIG. 27 shows a message structure for control messages.

FIG. 28 illustrates upstream packet flow through a network interfaceunit.

FIG. 29 illustrates a scheduler task in an embodiment.

FIG. 30 illustrates traffic shaping/policing and transmission schedulingat a network interface unit in another embodiment.

FIG. 31 is a flow diagram of packet mapping logic a network interfaceunit.

FIG. 32 is a flow diagram of scheduler logic at a network interfaceunit.

FIG. 33 is a flow diagram of transmitter logic at a network interfaceunit.

FIG. 34 illustrates traffic queuing at an intermediate network element.

FIGS. 35A, 35B illustrate scheduling logic at an intermediate networkelement.

FIG. 36 illustrates flow control thresholding at an intermediate networkelement.

FIGS. 37A-37G show message formats for resource request, request grant,request denial, resource commit, commit confirm, release confirm andresource release messages, respectively.

FIG. 38 illustrates a state diagram of CAC server logic for keepingtrack of changes in the state of a connection and corresponding CACserver actions.

FIG. 39 illustrates a setup message format.

FIGS. 40A-40C illustrate subfields for the setup message of FIG. 39.

FIG. 41 illustrates a message format for request, teardown and getparameters.

FIG. 42 illustrates a message format for a modify parameters message.

FIG. 43 illustrates a connection parameters message format.

FIG. 44 illustrates an exemplary topology.

FIG. 45 illustrates a second embodiment of a network configuration ofintelligent network elements in accordance with the present invention.

FIG. 46 is a block diagram of a mini fiber node of the network of FIG.45.

FIG. 47 illustrates a state diagram for a legacy bootstrap.

FIGS. 48A-48C illustrate gain-redistribution in a segment of the presentsystem.

FIG. 49 illustrates modem bootstrap communication along a segment of thepresent system.

FIG. 50 illustrates a modem upstream bootstrap state machine.

FIG. 51 illustrates a modem downstream bootstrap state machine.

FIG. 52 illustrates modem BIST, bypass and fault recovery.

DETAILED DESCRIPTION OF THE INVENTION

A description of preferred embodiments of the invention follows. Thefollowing definitions are employed herein:

Intelligent Network Element:

A device for receiving and transmitting signals over a transmissionmedium such as a coaxial cable including a data switch, two or moretransceivers each connected to the medium, and a processor, and operableto pass through a portion of the signals on the coaxial cable at a lowerbandwidth and operable to process and switch a portion of the signals onthe medium at a higher bandwidth, the intelligent network elementsincluding a distribution switch, subscriber access switch, intelligentline extender, and network interface unit.

Connection (Also Interconnection):

A physical or logical coupling between network elements operable forcommunication of signals, including messages, packets, and frames,between the network elements.

Point-to-Point:

A manner of transmitting signals (including messages, packets, andframes) over a connection between two network elements.

Tree and Branch:

A network topology in which a physical connections extending from aheadend to an end user define an acyclic path having no loops or meshes.

Link (or Data Link):

A connection between adjacent network elements and terminating at atransceiver in each of the adjacent network elements.

Utilization Parameters:

Data indicative of the current rate of message transmission, orbandwidth, currently being carried relative to the maximum messagethroughput which may be accommodated, or carried, over a connection orportion of a connection.

Admissible Region:

The difference between the current rate of message transmission and themaximum message throughput which may be carried, and thereforeindicative of the remaining bandwidth which remains for allocation touser message traffic.

Critical Segment:

A link which brings upstream traffic to an element at a speed which islower than the speed at which the traffic is going to be carried beyondthat element i.e. a bottleneck which defines the lowest throughput ofthe path back to the headend from an end user.

Overview of Access Network

FIG. 3 illustrates an embodiment of a network configuration inaccordance with the present invention. This network configuration isdescribed in U.S. Provisional Application No. 60/234,682 filed Sep. 22,2000 which is incorporated herein in its entirety. The networkconfiguration, also referred to herein as an Access Network, includesintelligent network elements each of which uses a physical layertechnology that allows data connections to be carried over coax cabledistribution facilities from every subscriber. In particular,point-to-point data links are established between the intelligentnetwork elements over the coax cable plant. Signals are terminated atthe intelligent network elements, switched and regenerated fortransmission across upstream or downstream data links as needed toconnect a home to the headend.

The intelligent network elements are interconnected using the existingcable television network such that the point-to-point data links arecarried on the cable plant using bandwidth that resides above thestandard upstream/downstream spectrum. FIG. 4 shows the additionalupstream and downstream bandwidth, nominally illustrated as residing at1025 to 1125 MHz (upstream) and 1300 to 1400 MHz (downstream), thoughother bandwidths and frequencies can be used. In a second embodiment,the 100 Mbps upstream and downstream bandwidths are provided in thespectrum 750 to 860 MHz. In these embodiments, intelligent networkelements can co-exist with today's standard elements which allow signalsup to about 1 GHz to be passed through. FIG. 5 shows a frequencyspectrum allocation above the DOCSIS spectrum as defined in thefollowing table for a second embodiment, with duplexing channelspectrums allocated in the 777.5 MHz to 922.5 MHz regime for 100 Mb/soperation and in the 1 GHz to 2 GHz regime for 1 Gb/s operation. Theseare example frequencies and can vary depending on implementation.

TABLE 1 Frequency Allocation 100 Mb/s 100 Mb/s 1 Gb/s 1 Gb/s Ch1 Ch2 Ch3Ch4 Lower 777.5 MHz 857.5 MHz   1 GHz 1.5 GHz Cutoff Upper 842.5 MHz922.5 MHz 1.5 GHz   2 GHz Cutoff

Referring again to FIG. 3, the intelligent network elements include anintelligent optical network unit or node 112, intelligent trunkamplifier 114, subscriber access switch (SAS) 116, intelligent lineextender 118 and network interface unit (NIU) 119. A standardresidential gateway or local area network 30 connected to the NIU 119 atthe home is also shown. Note that the trunk amplifier 114 is alsoreferred to herein as a distribution switch (DS). In an embodiment, theintelligent network elements can be combined with or replace therespective standard network elements (FIG. 1) so as to take advantage ofexisting network configurations. Thus, the configuration shown includesONU assembly 312 comprising standard ONU 12 and intelligent ONU 112 alsoreferred to herein as an optical distribution switch (ODS). Likewise,trunk amplifier or DA assembly 314 includes conventional trunk amp 14and intelligent trunk amp 114; cable tap assembly 316 includes standardtap 16 and subscriber access switch 116; and line extender assembly 318includes standard line extender 18 and intelligent line extender 118.

The intelligent ONU or ODS is connected over line 15 to a router 110,which has connections to a server farm 130, a video server 138, a callagent 140 and IlP network 142. The server farm 130 includes aTag/Topology server 132, a network management system (NMS) server 134, aprovisioning server 135 and a connection admission control (CAC) server136, all coupled to an Ethernet bus which are described further herein.

A headend 10 is shown having connections to a satellite dish 144 andCMTS 146. To serve the legacy portion of the network, the headend 10delivers a conventional amplitude modulated optical signal to the ONU12. This signal includes the analog video and DOCSIS channels. The ONUperforms an optical to electrical (O/E) conversion and sends radiofrequency (RF) signals over feeder coax cables 20 to the trunkamplifiers or DAs 14. Each DA along the path amplifies these RF signalsand distributes them over the distribution portion 24.

The present system includes intelligent network elements that canprovide high bandwidth capacity to each home. In the Access Network ofthe present invention, each intelligent network element providesswitching of data packets for data flow downstream and statisticalmultiplexing and priority queuing for data flow upstream. The legacyvideo and DOCSIS data signals are able to flow through transparentlybecause the intelligent network elements use a part of the frequencyspectrum of the coax cable that does not overlap with the spectrum beingused for legacy services.

Overview of Network Elements

The functionality of each of the intelligent network elements is nowdescribed in relation to particular embodiments.

As noted above, the network elements of the Access Network combine thelegacy functions of distribution amplifiers and taps into intelligentdevices that also provide switching of digital traffic in the downstreamdirection and queuing, prioritization and multiplexing in the upstreamdirection.

Referring to FIG. 6, in an embodiment of the Access Network of thepresent invention, the intelligent ONU or ODS 112 receives a high-speeddata signal (e.g., Gigabit Ethernet) from router 110 on line 15. Afteran O/E conversion, the Gigabit Ethernet packetized data is switcheddepending on its destination to the appropriate port 20A, 20B, 20C or20D. At the egress of this port, the data is modulated into RF bandwidthsignals and combined with the legacy RF signals received from the ONU 12on line 12A for transmission over the feeder coax cables 20. Switchingof the data is also performed at each DS 114 and SAS 116 until the datareaches the destination NIU 119, at which point the data is transmittedon the Home LAN, or Ethernet 30. Filtering and switching at eachintelligent network element provides guaranteed privacy of user datadownstream.

In the upstream direction, the ODS 112 collects data from the ports 20A,20B, 20C, 20D and separates the legacy data and video from the GigabitEthernet data. The legacy data and video signals are passed to the ONUon line 12A and the Gigabit Ethernet data is multiplexed, converted tooptical signals and forwarded to the router on line 15.

The ODS performs several functions that allow the Access Network tointer-work with any standard router and at the same time switch dataefficiently through the Access Network. As is well known, a standardEthernet packet includes layer 2 and layer 3 address information and adata payload. The layer 2 information includes a destination MAC addressthat is 48 bits in length. As described further herein, the presentapproach provides for more efficient switching in the Access Network byassociating a routing identification or Routing ID (RID) with eachnetwork element e.g. NIUs 119 in the Access Network. The RID is 12 bitsin length and is included in an Access Network Header. As describedfurther herein, the Tag/Topology server 132 (FIG. 3) assigns the RIDs.The ODS 12 acts as a learning bridge to learn and maintain the MACaddress<->RID mapping and inserts the Access Network Header containingthe RID of the destination element (e.g., NIU) for all packets goingdownstream into the Access Network. In case of an unknown MAC Address,the ODS inserts a broadcast RID. The Gigabit Ethernet data isterminated, processed and switched onto the appropriate port(s) based onthe entry for the corresponding RID in a routing table kept at the ODS.The routing table simply maps the RIDs to the egress ports of thenetwork element. For upstream packets received from the Access Network,the ODS strips off the Access Network Header and forwards a standardEthernet packet to the router.

Additionally, the ODS communicates with the NMS 134 (FIG. 3) toprovision the upstream and downstream traffic shaping criteria. The ODSuses this criteria to regulate the upstream and downstream traffic.

Referring now to FIG. 7, the DS 314 has a coax 20 port coupled to anupstream ODS, SAS, or DS and at least four coax ports 22A, 22B, 22C and22D coupled to downstream DSs or SASs. In the downstream direction, theDS receives legacy video/data and Gigabit Ethernet data from either theODS or an upstream DS or SAS on the coax 20. The legacy video and datais amplified and propagated on all of the ports 22A, 22B, 22C and 22D.The Gigabit Ethernet data is processed and switched onto the appropriateport(s) based on the entry for the corresponding Routing ID in a routingtable kept at the DS.

In the upstream direction, the DS 314 receives Gigabit Ethernet data andlegacy data signals from all four ports 22A, 22B, 22C and 22D and queuesthe Gigabit Ethernet data based on assigned priorities as describedfurther herein. The DS also performs flow control to prevent its buffersfrom overflowing. The received upstream Gigabit Ethernet data from ports22A, 22B, 22C and 22D is queued, prioritized and forwarded upstream. Thelegacy data is coupled directly into the upstream port.

Referring now to FIG. 8, the SAS 316 has a coax port 24A coupled to anupstream DS or SAS, a coax port 24B for coupling to a downstream SAS(or, possibly, a DS) and four coax drop ports 26A, 26B, 26C, 26D eachfor coupling to an NIU 119. In the downstream direction, coax port 24Areceives legacy video/data and Gigabit Ethernet data from an upstream DSor SAS. Legacy video/data is propagated on the ports 24B and 26A, 26B,26C, 26D. The Gigabit Ethernet data is processed and switched onto theappropriate drop port(s) 26A, 26B, 26C, 26D and/or forwarded to thedownstream SAS (or, possibly, DS) on port 24B based on the entry for thecorresponding Routing ID in a routing table kept at the SAS.

In the upstream direction, the SAS 316 receives Gigabit Ethernet dataand legacy data signals from all five ports 24B, 26A, 26B, 26C and 26Dand queues the Gigabit Ethernet data based on assigned priorities asdescribed further herein. The SAS also performs flow control to preventits buffers from overflowing. The received Gigabit Ethernet upstreamdata is queued, prioritized and forwarded further upstream. The legacydata is coupled directly into the upstream port.

Referring now to FIG. 9, the interfaces to the NIU 119 are shown. In thedownstream direction, the NIU receives legacy video/data and 100 MbpsEthernet data from the SAS 316 on drop 26. The legacy video/data and the100 Mbps data signals are split by the NIU. The legacy video and data istransmitted over coax 33 and the Ethernet data stream on line 31 isprocessed and user data is transmitted to the Home LAN 30 (FIG. 3) viathe 100BaseT Ethernet interface 31. Data processing includes checkingthe Routing ID to ensure privacy of user traffic and stripping theAccess Network Header to form standard Ethernet packets for transmissionon the Home LAN.

In the upstream direction, the NIU performs a bridging function toprevent local user traffic from entering the Access Network. The NIUalso provides a per service policing function which enables the serviceprovider to enforce service level agreements and protect networkresources. The NIU also inserts the Access Network Header. This datastream is combined with the legacy upstream traffic and forwarded to theSAS.

While the drop portion is described above as using standard coaxialcable drop, other embodiments can use wireless drops. To providewireless drops, the intelligent tap 116 (FIG. 3) and the intelligentnetwork interface device 119 (FIG. 3) are modified to include one ormore radio frequency (RF) transceivers which operate at an appropriateRF frequency, e.g., using Multichannel Multipoint Distribution Service(“MMDS”), Local Multipoint Distribution Systems (“LMDS”) or otherfrequencies. MMDS operates in the 2.1-2.7 GHz microwave band and LMDSoperates at approximately 28 Ghz.

Description of Network Element

An embodiment of a typical network element is now described withreference to the block diagram of FIG. 10. The network element includesan RF complex 602, RF transmitter/receiver pairs or modems 604 a-604 n,a PHY (physical layer) device 606, a switch 608, microprocessor 610,memory 612, flash memory 617 and a local oscillator/phase locked loop(LO/PLL) 614. All of the components are common to embodiments of theODS, DS, SAS and NIU. The ODS further includes an optical/electricalinterface. The NIU further includes a 100BaseT physical interface forconnecting to the Home LAN 30 (FIG. 3). In addition, the RF complex isshown as having a bypass path 618A and a built in self test path 618Bcontrolled by switches 618C, 618D which are described further herein.

The number of modems, 604 n generally, depends on the number of linksthat connect to the network element. For example, as noted above, DS 314has five ports (FIG. 7) and thus has five modems 604. A SAS 316 has sixports (FIG. 8) and thus has six modems 604. The network element in FIG.10 is shown having six ports indicated as ports 603, 605, 607, 609, 611and 613. The ports 603, 605 correspond to upstream and downstream ports24A, 24B respectively and ports 607, 609, 611, 613 correspond to dropports 26A, 26B, 26C, 26D respectively of the SAS shown in FIG. 8. ThePHY device 606 provides physical layer functions between each of themodems 604 and the switch 608. The switch 608, controlled by themicroprocessor 610, provides layer 2 switching functions and is referredto herein as the MAC device or simply MAC. The LO/PLL 614 providesmaster clock signals to the modems 604 at the channel frequenciesindicated above in Table 1 and described further herein.

A frame structure 620 used in the system is shown in FIG. 11. A frame620 includes frame synchronization, symbol synchronization and a dataphase. In a particular embodiment, the frame synchronization (FS) is fora period of 1 us and the symbol synchronization (SS) uses a 400 nsperiod. Carrier and framing synchronization is performed every 10 usfollowed by 1280 bytes of Data Phase 621. It should be understood thatother frame structures are possible and the frame structure described isonly an example.

The Data Phase is shown in FIG. 12A and includes 5 blocks 621A of 256bytes each. Each 256 byte block 621A consists of 4 bytes for out-of-band(OOB) data/signaling 623 and 252 bytes of in-band data 624.

FIG. 12B shows the fields for the OOB data/signaling 623. The fieldsinclude a start-of-packet pointer (8 bits) 625A, flow control (4 bits)625B, out-of-band data (8 bits) 625C and CRC (8 bits) 625D. In addition,4 bits are reserved.

The start-of-packet pointer 625A indicates the start of a new MAC framein the following 252 byte block 624 (FIG. 12A). A value greater than orequal to ‘252’ indicates no new packet boundary in this block. The flowcontrol bits 625B are used to carry flow control information from parentto child i.e. from a device such as DA, SAS, or ODS to another devicethat is directly connected to it on the downstream side. The out-of-banddata bits 625C are used to carry out-of-band data from parent to child.The CRC 625D is used for CRC of the OOB data/signaling 623.RF Modem

The RF modem 604 n (FIG. 10) is now described. A modulation system withspectral efficiency of 4 bits/s/Hz is used to provide high data rateswithin the allocated bandwidth. In particular, 16-state QuadratureAmplitude Modulation (16-QAM) is preferably used, which involves thequadrature multiplexing of two 4-level symbol channels. Embodiments ofthe network elements of the present system described herein support 100Mb/s and 1 Gb/s Ethernet transfer rates, using the 16-QAM modulation atsymbol rates of 31 or 311 MHz. A block diagram of one of the transmittersections 604A of the modem is shown in FIG. 13. The transmitter sectionincludes at least two digital-to-analog converters (DACs) 630, low passfilters 632 and in-phase and quadrature multiplier stages 634, 636respectively. A crystal oscillator 644 serves as the system clockreference, and is used by clock generator 646 and by carrier generationphase locked loop circuit (PLL) 642.

Byte data is first mapped into parallel multi-bit streams by thebyte-to-QAM mapper 628 in the PHY device 606 described in detail inconnection with FIG. 16 for driving each of the DACs 630. The DACoutputs are low-pass filtered, and passed to the multiplier stages formodulation with in-phase (I) and quadrature (Q) carriers provided by thecarrier generation PLL circuit 642. The up-converted,quadrature-multiplexed signal is mixed in mixer 638 and passed to anoutput power amplifier 640 for transmission to other intelligent networkdevices.

A block diagram for the receiver section 604B of the modem is shown inFIG. 14. At the front end, the receiver section 604B includes low-noiseamplifier (LNA) 650, equalizer 652 and automatic gain control (AGC) 654.The received signal from PHY 606 is boosted in the LNA 650 and correctedfor frequency-dependent line loss in the equalizer 652. The equalizedsignal is passed through the AGC stage 654 to I and Q multiplier stages656, 658, low pass filters 660 and analog-to-digital converters (ADC)662. After down-conversion in the multiplier stages 656, 658 andlow-pass filtering, the I and Q channels are digitized and passed on tothe QAM-to-byte mapper 629 for conversion to a byte-wide data stream inthe PHY device 606 (FIG. 10).

Carrier and clock recovery, for use in synchronization at symbol andframe levels, are performed during periodic training periods describedbelow. A carrier recovery PLL circuit 668 provides the I and Q carriersto the multipliers 656, 658. A clock recovery delay locked loop (DLL)circuit 676 provides clock to the QAM-to-byte mapper 629. During eachtraining period, PLL and DLL paths that include F(s) block 674 andvoltage controlled oscillator (VCXO) 670 are switched in using normallyopen switch 673 under control of SYNC timing circuit 672 in order toprovide updated samples of phase/delay error correction information.

FIG. 15 shows the training periods and data as parts of the framestructure. The frame structure is now described with reference to bothFIGS. 14 and 15. During the normal operation, the RF local oscillatormay drift. Periodically during the normal state, the receiver updatescarrier and timing. For part of every frame, the receiver section 604Bis in a training mode in which it receives a carrier recovery signal 675followed by a symbol timing recovery signal 677. During the carrierrecovery period 675, the VCXO 670 tunes in with the RF frequency/phasereference provided by F(s) block 674 (FIG. 14). The local oscillator inthe carrier recovery PLL circuit 668 uses the VXCO as a reference andfollows the VCXO (FIG. 15) to tune in. At the falling edge of thecarrier recovery period 675, the receiver 604B counts a programmabledelay, then the receiver 604B enables the clock-recovery DLL circuit676. This timing recovery occurs in relation to the symbol timingrecovery signal 677. The SYNC timing circuit closes switch 673 toconnect the carrier recovery PLL circuit 668 and clock recovery DLLcircuit 676. Following these short update periods, the receiver is in anormal operational mode in which it receives data frames 620.

PHY Device

A block diagram of the PHY device 606 (FIG. 10) is shown in FIG. 16. ThePHY includes a transmit section 606A and a receive section 606B. Itshould be understood that the PHY device 606 includes a pair of transmitand receive sections 606A, 606B for each corresponding RF modem 604(FIG. 10). Thus, for example, the PHY device in the network element inFIG. 10 includes six PHY transmit/receive section pairs 606A, 606B toconnect to the corresponding six RF modems 604.

The transmit section 606A includes transmit media independent interface(MII) 680, byte and symbol sign scrambler word generator 682, bytescrambler 684, Gray encoder and symbol sign scrambler (mapper) 686 andPHY framer 688. The mapper 686 corresponds to the byte-to-QAM mapper 628(FIG. 13), described further below. Scrambling is used to balance thedistribution of symbols and flows (polarity).

The receive section 606B includes receive MII 690, byte and symbol signdescrambler word generator 692, byte descrambler 694, Gray decoder andsymbol sign descrambler (demapper) 696 and PHY deframer 698. Thedemapper 696 corresponds to the QAM-to-byte mapper 629 (FIG. 14).

The PHY device provides interfaces to the MAC layer device 608 and themodems 604 (FIG. 10) in the network element. The PHY providesfull-duplex conversion of byte data into 16-QAM wire symbols, andvice-versa, at a rate of 100 Mb/s or 1 Gb/s. The MAC device 608 (FIG.10) runs all of its ports from one set of clocks; therefore, the PHY/MACinterface contains shallow byte-wide FIFOs to buffer data due todifferences between the MAC clock and received clock rates. In thetransmit section 606A the PHY scrambles the byte data, breaks the bytesinto 16-QAM symbols, and scrambles the signs of the symbols beforepassing the symbols on to the analog portion of the modem 604. In thereceive section 606B, the PHY collects 16-QAM symbols, descrambles thesigns, packs the symbols into bytes, and descrambles the bytes beforepassing them on to the MAC device 608.

A PHY is considered either a master or a slave, depending upon how itreceives its clocks. A master PHY uses a transmit clock derived from thelocal reference crystal 644 (FIG. 13). A slave PHY uses a transmit clockderived from its partner receiver. In a SAS device 316 (FIG. 3), forinstance, the PHY that looks upstream is a slave PHY; the downstream anddrop PHYs are all masters, using the local reference crystal. The PHY inan NIU 119 (FIG. 3) is a slave to the PHY in the corresponding SASdevice 316.

MAC Interface

Referring again to FIG. 16, the PHY 606 supports a MAC interface,referred to herein as the media-independent interface (MII), for 1 Gb/sand 100 Mb/s transport. The Tx MII 680 and Rx MII 690 provide aninterface indicated at 681, 683, 691 and defined in 2. The MII includestransmit and receive FIFOs (not shown) which buffer byte data betweenthe MAC and PHY devices.

TABLE 2 MII Signals Signal Name Source Description TXD<7:0> MAC TransmitDat TX_DV MAC Transmit Data Valid TX_EN MAC Transmit Enable TX_RDY PHYTransmit Ready RXD<7:0> PHY Receive Data RX_DV PHY Receive Data ValidMAC_CLK MAC Tx and Rx FIFO Clock (Byte clock - 155 or 15.5 MHz) FS PHYFrame Synchronization

The transmit interface 606A is now described in connection with FIG. 16.The MAC 608 (FIG. 10) asserts TX_EN when it is ready to begintransmitting data to the receiver section 606B of PHY device 606. WhileTX_EN is deasserted, the PHY sends frames with normal preambles but withrandom data. In this mode, the LFSR is not reset at the start of everyframe. When the MAC asserts TX_EN, the PHY completes the frame it iscurrently sending, sends normal frame resynchronization segments, sendsa start-of-frame delimiter (SFD) segment, and begins transmitting data.The PHY deasserts TX_RDY while TX_EN remains asserted. TX_RDY willassert for the first time shortly before the PHY sends the first SFDsegment.

When the PHY Tx FIFO is not full, the MAC may load data into it byasserting the TX_DV signal for one cycle of TX_CLK. When the Tx FIFO isclose to full, the PHY will deassert the TX_RDY signal, and it willaccept the byte of data currently on TXD. TX_RDY will assert during theperiodic frame synchronization periods.

The PHY generates its 311 MHz symbol clock from a 155 MHz localreference oscillator (if a master PHY) or from the demodulator (if aslave PHY). A master PHY also generates the 155 MHz MAC_CLK. The MACside of the PHY Tx FIFO uses the 155 MHz MAC_CLK.

The receive interface will now be described. When valid data is in thePHY Rx FIFO, the PHY asserts RX_DV. The PHY assumes that the MACconsumes valid data immediately, so the PHY advances the read pointer tothe next valid entry. When the Rx FIFO is empty, the PHY deassertsRX_DV. If the PHY has properly received 2 of the previous 3 frames, thePHY asserts FS.

The PHY does not have a 311 MHz symbol clock for the receiver; instead,it uses both edges of the 155 MHz clock supplied to it by thedemodulator. The MAC side of the PHY Rx FIFO uses the 155 MHz MAC_CLK.

Carrier and Frame Synchronization

The PHY and MAC use FS to support framing control. The PHY receiver 606b will deassert FS when it believes it has lost track of the framingsequence. If the PHY has not received an SFD segment in a span of 2frame periods, the PHY will deassert FS. FS powers up deasserted.

Modem Interface

The digital PHY connects to the transmit modulator via 10 digital pins:two differential pairs for in-phase signal (I), two differential pairsfor quadrature signal (Q), and an additional 2 pins to indicate when oneor both of the in-phase signal (I) and/or quadrature signal (Q) shouldbe tristated. The digital outputs connect to D-to-A converters in the Txmodulator section.

The Rx demodulator slices the incoming symbols into 4 sets of 2-bitcoded signals. There is one set of signals for each of I₁, I₂, Q₁, andQ₂. The demodulator supplies a 155 MHz clock to the PHY, which it usesfor synchronously loading the received symbols.

The framer, scrambler and mapper elements of the transmit section 606A(FIG. 16) are now described.

The transmit section 606A of the PHY accepts one byte per clock (155MHz) when framing conditions permit. When sending frame synchronizationpatterns, the PHY asserts TX_FULL to indicate that the MAC should stopsending new data on TXD<7:0>.

The clocks at the transmit and receive sections 606A, 606B of the PHYcan have some discrepancy. To keep the receiver in synchronization withthe transmitter (and data transmission), the PHY framer 688 of thetransmitter periodically sends certain special, non-data patterns thatthe receiver uses to re-acquire lock. The receiver uses the firstsegment of the frame to acquire carrier synchronization. After lockingto the incoming carrier, the receiver uses the second segment of theframe to find the optimal point within each symbol time (maximum eyeopening) at which to sample (slice) the symbol. After sufficient timefor the receiver to locate the eye opening, a short, uniquepattern—Start-of-Frame Delimiter (SFD)—is used to mark the start of thedata payload. After a time short enough to guarantee that thetransmitter and receiver remain in lock, the transmitter stopstransmitting data, and starts another frame sequence by sending thecarrier synchronization segment. This sequence is described above inrelation to FIG. 15.

The transmit PHY 606A controls the framing, and tells the MAC when it issending data, and when the MAC should pause its data transfer to thePHY. While the PHY is sending anything but the data payload, the PHYwill assert TX_FULL. The MAC does not send new data to the PHY whileTX_FULL is asserted.

Two kinds of scrambling are performed in the transmitter. Bit scramblingtries to ensure a balanced distribution of symbols. This scrambling canminimize the likelihood of transmitting a sequence of low-amplitudesignals. A good amplitude distribution may improve the performance ofthe receiver's AGC circuitry, and may be necessary for determining thethreshold levels at the receiver's slicer. Sign scrambling tries toeliminate any DC component in the output signal.

The bit and sign scrambler word generator 682 generates 8-bit words forbit-scrambling and 4-bit words for sign-scrambling. Bit scramblingoccurs one byte at a time, in the bit scrambler 684, before the data hasbeen split into 16-QAM symbols. Sign scrambling occurs after the symbolshave been mapped, just before driving the off-chip D-to-A converters.The Gray Encoder (mapper) 686 also provides the sign scramblingfunction.

A 33-bit LFSR generates the pseudo-random number sequence used for bothtypes of scrambling. The LFSR polynomial is. The bit scramblingequations are listed in Tables 3 and 4.

TABLE 3 Bit Scrambling Bit Number Equation 7Scr_(n)[30]⊕Scr_(n)[28]⊕Scr_(n)[25]⊕Scr_(n)[23]⊕Scr_(n)[20]⊕Scr_(n)[18]⊕Scr_(n)[15]⊕Scr_(n)[13]6 Scr_(n)[22]⊕Scr_(n)[20]⊕Scr_(n)[12]⊕Scr_(n)[10] 5Scr_(n)[14]⊕Scr_(n)[12]⊕Scr_(n)[09]⊕Scr_(n)[07] 4Scr_(n)[06]⊕Scr_(n)[04] 3Scr_(n)[24]⊕Scr_(n)[19]⊕Scr_(n)[14]⊕Scr_(n)[09]⊕(n MOD 2) 2Scr_(n)[16]⊕Scr_(n)[06]⊕(n MOD 2) 1 Scr_(n)[08]⊕Scr_(n)[03]⊕(n MOD 2) 0Scr_(n)[00]

TABLE 4 Sign Scrambling Symbol Equation I₁Scr_(n)[29]⊕Scr_(n)[25]⊕Scr_(n)[24]⊕Scr_(n)[20]⊕Scr_(n)[19]⊕Scr_(n)[15]⊕Scr_(n)[14]⊕Scr_(n)[10]I₂ Scr_(n)[21]⊕Scr_(n)[17]⊕Scr_(n)[11]⊕Scr_(n)[07] Q₁Scr_(n)[13]⊕Scr_(n)[09]⊕Scr_(n)[08]⊕Scr_(n)[04] Q₂Scr_(n)[05]⊕Scr_(n)[01]

TABLE 5 Data Bit to Symbol Mapping Scrambled data bit Symbol Assignment7 Q₂[1] 6 Q₂[0] 5 I₂[1] 4 I₂[0] 3 Q₁[1] 2 Q₁[0] 1 I₁[1] 0 I₁[0]

After grouping, the symbols are sign-scrambled and converted to thevirtual Gray code for output to the modulator as shown in Table 6.

TABLE 6 Symbol to DAC Input Mapping Pinout Mapping (V[1:0]) Desired NoSign With Sign Symbol[1:0] Mapping Inversion Inversion 01 +3 00 10 00 +101 11 10 −1 11 01 11 −3 10 00

The deframer, descrambler and demapper elements of the receive section606B (FIG. 16) are now described.

The frame structure (FIG. 15) consists of several different segments,each with a particular purpose. The roughly 1 (s carrier synchronizationburst 675 is bracketed by brief periods where there is no signaltransmission at all. The “front porch” 675A and “middle porch” 675B helpthe analog demodulator determine the start and end of the carriersynchronization burst. The analog demodulator must use a carrierenvelope detector to identify the carrier synchronization burst 675.

After the carrier envelope detector signal falls (for the “middleporch”), the digital PHY 606B enables (closes) the symbolsynchronization-tracking loop 676 after some delay. The digital PHYopens the symbol-tracking loop 676 after the symbol-tracking segment 677ends (during the “back porch” 677A). The PHY begins searching for theSFD pattern after opening the symbol-tracking loop. The delay fromcarrier envelope signal deassertion until closing the symbol-trackingloop and the length of the symbol-tracking period are both programmable.

The SFD search must check for four possibilities. Assume the SFD patternconsists of the 2 hex-digit code 0x01. Because of indeterminacy in thearrival time or latency of each link, the SFD byte may be received withthe ‘0’ on the I/Q₁ lines and the ‘1’ on the I/Q₂ lines, or vice versa.In addition, the demodulating mixer may or may not invert the phase ofits outputs, potentially converting the ‘0’ to ‘F’ and the ‘1’ to ‘ E’.Fortunately, both I and Q will have the same inversion state. Taking allthis into account, the SFD search much consider matching any of 4patterns: 0x01, 0x10, 0xFE, and 0xEF. When the SFD pattern is matched,the topology of the match is stored and used to properly de-map eachsymbol and form byte-aligned words.

The slicer-encoded signals are converted to digital signals as describedin Table 7.

TABLE 7 Slicer to Symbol Mapping Symbol Mapping (V[1:0]) Desired No SignWith Sign Slicer[1:0] Mapping Inversion Inversion 00 +3 01 11 01 +1 0010 11 −1 10 00 10 −3 11 01

Based on the topology of the SFD match, the individual symbols arepotentially inverted, potentially reordered, then packed into bytesaccording to Table 5.

The Descrambler 694 uses the same LFSR polynomial and seed as theScrambler. The LFSR is initialized to the seed, and n is initialized to0, upon detection of the SFD pattern.

When RX_DV is asserted, the receiver sends one byte per clock (155 MHz)to the MAC on RXD<7:0>. The PHY receiver derives the 155 MHz RX_CLK fromthe 155 MHz demodulator clocks, but the MAC side of the Rx FIFO isclocked with the 155 MHz MAC_CLK.

RF Complex

An embodiment of the RF complex 602 (FIG. 10) provides passive couplingand splitting of digital signals provided by the intelligent networkelements and the legacy signals. The RF complex 602A shown in FIG. 17includes diplexers 702, couplers 704, 706, 708, 710 and low pass filters712, 714.

The legacy signals transmitted to and received from lines 603, 605 arecoupled and split through couplers 704, 706, 708, 710. The low passfilters 712, 714 block the digital signals provided by the intelligentnetwork elements and pass the legacy signals above, e.g., 900 MHz to andfrom the ports 603, 605, 607, 609, 611, 613. Similar arrangements aremade for connecting other standard network elements with thecorresponding intelligent network devices.

A second embodiment of the RF complex provides active functions,including equalization and amplification. The RF complex 602B shown inFIG. 18 includes diplexers 702, triplexers 705, coupler 707, low passfilters 709, bypass path 711, equalizers 724, amplifiers 726, powerdividers 728 and power combiners 730.

The amplifiers 726 provide the line-extender function of legacy HFCsystems. In addition, the amplifiers 726 and equalizer 724 provideaddressable attenuation and equalization capabilities for use indownstream Line Build Out (LBO) and coaxial skin-effect correctionrespectively. Further, addressable attenuation is also provided in thereturn-path for equalization of funneled noise. Return paths can beselectively disconnected in areas not requiring upstream services. TheRF complex 602B also includes an automatic bypass path 711 that isswitched in upon component failure.

Switching Within the Access Network

In a communications environment, there can be typically many userdevices per household. Switching data traffic on the basis of the MACaddresses of the devices leads to very large 48-bit wide switching tableentries. To avoid this problem, as noted above the Access Network of thepresent system assigns a unique 12-bit Routing ID (RID) to each networkelement (e.g., DS, SAS and NIU). In the case of the NIU, this NIU-IDidentifies itself and a subscriber premises connected thereto and forswitching within the access network all Internet appliances within thehome are associated with it. Switching within the network takes placeusing the RID, thus reducing the size of the switching tabletremendously.

Present day cable systems support a maximum of 2,000 households passedper ONU. Over time, the ONUs can be expected to support fewer homes asthe ONUs become deployed further into the feeder and distributionportions of the network. Thus, a 12-bit field for the RID is sufficientto identify each NIU, DS and SAS in the network.

An exemplary structure for an encapsulated packet of the present systemis shown in FIG. 19. The encapsulated packet 800 includes lengthindicator (LI) 801 and Ethernet packet allocations. The LI is comprisedof 2 bytes (11 bits plus 5 for CRC). The Ethernet packet length can varyfrom 68 to 1536 bytes. The Ethernet packet is chopped up and transportedin one or more in-band data segments 624 (FIG. 12A).

The Ethernet packet allocations include destination MAC address 802,source MAC address 804, Access Network Header 806, type/length 808,layer 3 header 810, layer 3 payload 812 and frame check sequence (FCS)813.

An exemplary format for the Access Network Header 806 is shown in FIG.20. The format includes the following sub-fields: Reserved (13 bits)814, Control (3 bits) 816, Quality of Service (QoS) (3 bits) 818, Unused(1 bit) 820 and Routing ID (RID) (12 bits) 822. The Control bits areused to indicate control information and are used in messaging and fortriggering different actions at the intelligent network elementsdescribed further herein.

The QoS bits are used to prioritize traffic. The Control bits and QoSbits are described further herein. Using the 12-bit RID, packets can berouted to the appropriate DS, SAS or NIU. All user data is transmittedby the NIU onto the Home LAN using standard Ethernet frames. The 12-bitRID allows the system to address 4096 entities which can be used toindicate an entity (Unicast), a group of entities (for Multicast) or allentities (for Broadcast). In an embodiment, the different RIDs arespecified as follows in Table 8.

TABLE 8 RID Assignment Routing ID Kind of Traffic   0 Illegal (PacketShould Not Be Forwarded)   1-4000 Unicast Traffic (Forward packet on ONEPort) 4001-4094 Multicast Traffic (Forward Packet on Multiple Ports)4095 Broadcast Traffic (Forward Packet on ALL Ports)

The RID is assigned to all network elements at boot time. TheTag/Topology server 132 (FIG. 3) is responsible for assigning the RIDsthat are also referred to herein interchangeably as Tags. TheTag/Topology Server acts as a Dynamic Host Configuration Protocol (DHCP)server for assigning the RIDs and IP Addresses to the network elementsof the Access Network.

DHCP is a network protocol that enables a DHCP server to automaticallyassign an IP address to an individual computer or network device. DHCPassigns a number dynamically from a defined range of numbers configuredfor a given network.

Client computers or devices configured to use DHCP for IP addressassignment do not need to have a statically assigned IP address. DHCPassigns an IP address when a system is started. Typically, theassignment process using the DHCP server works as follows. A user turnson a computer with a DHCP client. The client computer sends a broadcastrequest (called a DISCOVER), looking for a DHCP server to answer. Arouter directs the request to one or more DHCP servers. The server(s)send(s) a DHCP OFFER packet. The client sends a DHCP REQUEST packet tothe desired server. The desired server sends a DHCP ACK packet.

The format of a standard DHCP message 824 is shown in FIG. 21. Thestandard DHCP message includes standard fields denoted 825 and vendorspecific options field 826. In the present system, the standard fields825 are used to carry IP address information and the vendor specificoptions field 826 is used to carry information regarding RD assignmentand topology. Special control bits described further herein identifyDHCP messages going upstream.

A sequence of events leading to RID and IP Address assignment in thepresent system is described as follows and shown in FIG. 22.

-   -   A newly installed or initialized network element (e.g., DS 114,        SAS 116 or NIU 119; FIG. 3) broadcasts a DHCPDISCOVER message        looking for the Tag/Topology server 132. The options field 826        (FIG. 21) in the DHCPDISCOVER is populated to differentiate        between a network element and other user devices.    -   All “registered” devices in the upstream path between the        initialized network element and the ODS 112 (FIG. 3) append        their MAC Address and Physical Port numbers to the DHCPDISCOVER        message in options field 826. This is done in order to construct        a topology of the Access Network and is described further        herein.    -   A relay agent of the router 110 (FIG. 3) relays this message to        all known DHCP servers.    -   The Tag/Topology server 132 also receives this message and        identifies that it comes from a valid network element. The        Tag/Topology server sends back a DHCPOFFER that contains the IP        Address and RID for the new network element. The Tag/Topology        server can assign the RID based on topology if the need so        arises. It also sets an option in the options field 826 to        identify itself to the network element as the Tag/Topology        server. Other DHCP servers may also send DHCPOFFER but they will        not typically set the options field 826.    -   The network element recognizes the DHCPOFFER from the        Tag/Topology server and sends back a DHCPREQUEST. This message        identifies the Tag/Topology server whose offer is accepted. It        is also relayed to all other known DHCP servers to inform them        that their offer was rejected.    -   The Tag/Topology server sends back a DHCPACK confirming the IP        Address and RID.    -   The network element is registered and gets its IP Address and        RID.        DHCP Options

The manner in which the present system uses the DHCP options field 826(FIG. 21) is now described. The options field 826 provides for up to 256options. Of these, option codes 0-127 are standard options and optioncodes 128-254 are vendor specific. Each option has the following threesub-fields:

Type/Option Code 1 byte Length 1 byte Value Up to 255 bytes ofinformationA typical options field as used in the present system is shown in FIG.23. The start of the options field is identified by a start of optionssequence 830. This is followed by the DHCP Message Type Option 832 thatindicates the type of DHCP Message. Then follows a list of specificoptions 834, 836, 838, 840 described further below. The end of theoptions field is indicated by the END option 842.

The vendor specific option codes can be used for tag assignment andtopology discovery purposes as shown in Table 9.

TABLE 9 Specific Option Codes Type Information Carried (Hex)Significance by Value Field 171 (AB) Identify network 1-Byte numberidentify element to DS, SAS or NIU Tag/Topology server 172 (AC) IdentifyTag/Topology 4-Byte number with the server to network IP Address of theelement Tag/Topology server 173 (AD) Used to carry Routing 3-Byte numberthat ID Information in contains the Tag either direction 174 (AE) Usedto indicate the 1-Byte number that is number of elements the number ofDSs and that have attached SASs in the upstream their MAC/Port fordirection. This number topology discovery is incremented by each devicealong the way that appends its MAC/Port information. 175 (AF) Used toindicate 7-byte number that actual topology carries the MAC andinformation. This Physical Port informa- field is used tion to constructrepeatedly by each topology of the new device in the upstream networkelement direction to append its MAC/Port information

For example, referring again to FIG. 23, the option 834 includes type171 (AB) and identifies the type of network element that is beinginitialized, in this case, a DS. Option 836 includes type 174 (AE) andindicates the number of elements that have attached their MAC/portinformation for purposes of topology discovery. In this case, option 836indicates that the DHCP message includes information from two networkelements. Options 838 and 840 include type 175 and indicate the actualMAC/port information for the new and intermediate elements,respectively.

It should be noted that IP Addresses and Tags can be assignedindefinitely or for a fixed duration (finite lease length). In thelatter case, the IP Addresses and Tags will expire if they are notrenewed. In order to renew the Tag and IP Address, the network elementsends a DHCPREQUEST message. If the Tag/Topology server does not receivea renew message and the Tag expires, it is free to assign the Tag againto another network element. This can be done within the ambit ofwell-defined DHCP Messages.

Topology Discovery

Knowledge of the logical location of all network elements (DSs/SASs andNIUs) assists in performing troubleshooting, flow control, systematicassignment of RIDs to facilitate Wavelength Add Drop Multiplexing usingAccess Network Headers, network management and connection admissioncontrol.

As noted above, the Tag/Topology server 132 (FIG. 3) assigns Tags and IPAddresses and maintains an up to date topology of the network. Asdifferent network elements boot up and ask for IP Addresses and RIDsusing the DHCPDISCOVER process described previously, the Tag/Topologyserver tracks and constructs a network topology. The Tag/Topology servercan also request the Network Management Systems (NMS) 134 (FIG. 3) toprompt individual network elements to re-send their topology informationat any time.

Initial topology discovery takes place using standard DHCPDISCOVERmessages. As a network element boots up, it broadcasts a DHCPDISCOVERrequest as described above. The control bits are set as describedfurther herein.

At the originating network element, the DHCP option fields 834, 836, 838pertaining to topology discovery noted above in FIG. 23 are shown inmore detail in FIG. 24. The topology information is constructed in DHCPOption 175. DHCP Option 174 contains the number of upstream elementsthat have already appended their information. Each subsequent networkelement adds its MAC address and the physical ingress port number onwhich it received this packet and increments the value of Option 174 byone. At an intermediate upstream element the DHCP Options fields are asindicated in FIG. 25.

The Tag/Topology server can derive the logical location of the newnetwork element from the information in the options field of a completedpacket and assign RIDs and IP Addresses accordingly.

In a dynamically changing system, the Tag/Topology server may lose trackof the topology momentarily. In such a situation, it may ask the NMS toprompt the target element(s) to resend their topology using DHCPINFORMmessages. In this case, the message structure remains the same as theDHCPDISCOVER and topology can be reconstructed. DHCPINFORM messages canalso be sent periodically by the network element to ensure that topologyinformation stays current.

Flow of User Traffic Within the Access Network

The flow of data traffic for a user device attached to a registered NIU119 through home LAN 30 (FIG. 3) is now described.

For upstream traffic, the NIU performs a bridging function at theingress to the Access Network and prevents local user traffic fromentering the Access Network. For legitimate user traffic, the NIUinserts the Access Network Header into all upstream packets. The AccessNetwork Header includes the unique RID assigned to the NIU by theTag/Topology server. QoS bits described further herein are added asprovisioned on a per flow basis. All network elements in the upstreampath perform prioritization and queuing based on these QoS bit. At theODS 112 (FIG. 3) the Access Network Header is discarded, the originalEthernet packet is reconstructed and handed to router 110 (FIG. 3).

For downstream traffic, the ODS 112 inserts an Access Network Headerinto each downstream packet based on the layer-2 destination address andrecomputes the CRC. This header contains the 12-bit Routing ID of theNIU that serves the user device. All network elements forward the packetto various egress ports based on the entry in their routing table forthis Routing ID. At the NIU, the Access Network Header is stripped offand the original (layer-2) packet is reconstructed and transmitted onthe Home LAN 30 (FIG. 3).

Messaging Within the Access Network

Various network elements within the Access Network communicate with eachother using a messaging protocol now described. The message processingdepends on the Routing ID described above, the Control bits and theDestination MAC Address.

Control Bits

Referring again to FIG. 20, the Control bits 816 are part of the AccessNetwork Header 806. Messaging packets with different control bitsettings are processed differently by the different network elements. Inthe description of the embodiment described herein it is understood thatno network element within the Access Network initiates messages fordevices downstream from it. Network elements can initiate messages forother devices upstream. These messages can include information such asheartbeats and routing table updates. It should be understood also thatthe principles of the present system can be applied to a network inwhich messaging between all network elements takes place.

Significance of Control Bits for Downstream Packet Flow

In the downstream direction, control bits are used to mark messages fromAccess Network servers. These are special control messages that aremeant for a network element and, for security reasons, should not reachthe end user. The control bits are also useful for dynamicallydetermining the NIU that serves an end device as described furtherherein.

The routing ID (RID) of a DS or SAS uniquely identifies the device.Hence, any frame that has the unique RID of the DS or SAS is forwardedto the processor 610 (FIG. 10) associated with that DS or SAS. Allframes with Broadcast RID are forwarded to the processor and to alldownstream egress ports. All downstream messages to the DS/SAS areprocessed by the TCP/IP stack.

The control bits have no significance at the DS/SAS as indicated inTable 10.

TABLE 10 Downstream Packet Handling at DS/SAS based on ID, Control Bitsand Destination MAC Address Control Destination Routing ID Bits MACAddress Behavior Broadcast X X Broadcast on All Ports and forward toProcessor Matches X X Forward to Processor Other X X Forward on RelevantPorts Based on Routing TableThe processing of downstream messages at the NIU is determined by thefollowing factors. The RID of the NIU identifies the NIU and all userdevices on its Home LAN. In other words, an NIU is not uniquelyidentified by an RID. The NIU is the last point at the Access Networkbefore the data enters the subscriber premises. Hence, the NIU needs tofilter out all control plane data. Control messages are identified usingcontrol bits and Destination MAC Addresses. The NIU needs to identifyand respond to ARP-like messages from the CAC server for constructingthe NIU-User device mapping.

The behavior of the NIU is indicated in Table 11:

TABLE 11 Downstream packet handling at NIU based on ID, Control Bits andDestination MAC Address Control Destination Routing ID Bits MAC AddressBehavior Broadcast or 000 Broadcast Process Packet and Matches Broadcaston Home LAN Broadcast or 001 Broadcast Process Packet Matches Broadcastor 000 Matches Process Packet Matches Broadcast or 001 Matches ProcessPacket Matches Broadcast or X Only OUI Discard Packet (Do not MatchesMatches forward on Home LAN) Broadcast or 000 Does not Forward Packet toHome Matches Match LAN Interface Broadcast or 001 Does not Parse Layer-2Frame Matches Match for Message from CAC Server Broadcast or Other XReserved - Discard for Matches now Other X X Discard PacketDownstream message processing is shown in FIG. 26.Significance of Control Bits for Upstream Packet Flow

In the upstream direction there can be several kinds of messages flowingbetween the different network elements. Such messages are meant eitherfor the parent only (e.g., so-called heartbeat messages) or for all theelements in the upstream path. As used herein, “parent” refers to thenext upstream network element relative to the originating element whichis referred to as the “child”. In addition, DHCP messages flow all theway to the Tag/Topology Server and all network elements along the wayappend some information and pass it on as described herein above. Allupstream messaging between network elements and other servers takesplace at Layer-3 using their respective IP Addresses and does notrequire special control bits. The following messages are specified inTable 12:

TABLE 12 Upstream Message types Control Bits Significance 000 User Data001 Intercept, Parse and Take Necessary Action 010 Keep a Copy and alsoForward upstream 011 DHCP Message (Append Required Information andForward) 100 ARP Message (Indicates to the ODS that it needs to use thispacket for label learning)The criterion for adding the control bits at the NIU is shown in Table13:

TABLE 13 Control Bits Added by NIU Based on Message Type Packet ControlBits Initiated By Message Type Added User Device User Data (Non ARP) 000User Device ARP Messages 100 NIU Packet meant for Server (Other Than 000Tag/Topology Server) NIU Packet Meant for Interception by 001 Parent(e.g. Heartbeat) NIU Packet Meant to go to All Devices in 010 theUpstream Path (e.g. Routing Update) NIU DHCP Messages originated by NIU011 (for topology discovery) NIU ARP Messages 100

For packets going upstream, the behavior of the DS/SAS is shown in Table14. It is important to note that the DS/SAS/NIU ID field is not examinedto decide the course of action. Instead only the Control Bits areexamined. Also, for all upstream messages, raw Layer-2 frames areexamined and are not passed up the TCP/IP Stack.

TABLE 14 Upstream Packet Handling at DS/SAS Based on Control BitsControl Bits Action 000 Pass Through 001 Intercept and Parse (Layer-2)Message. 010 Keep a Copy of the Message and Forward Upstream 011Intercept the DHCP Message, Parse and Append MAC and Physical (ingress)Port Number and Forward Upstream 100 All DSs/SASs Pass Through and ODSintercepts for Label Learning

For packets/messages initiated by the DS/SAS, the control bits aresimilar to those of packets initiated by the NIU as shown in Table 15.

TABLE 15 Control Bits Added by DS/SAS Based on Message Type PacketControl Bits Initiated By Message Type Added DS/SAS Packet meant forServer (other than 000 Tag/Topology Server) DS/SAS Packet meant forinterception by 001 Parent (e.g. Heartbeat) DS/SAS Packet meant to go toall devices in the 010 upstream path (e.g. Routing Update) DS/SAS DHCPMessages originated by 011 DS/SAS (for topology discovery) DS/SAS ARPMessages (for label learning) 100Communication Between Access Network Servers and DS/SAS/NIUs

A network server farm 130 includes various servers 132, 134, 136 (FIG.3) that need to communicate with the DSs, SASs and NIUs within theAccess Network. All messaging between these servers and access networkdevices (e.g. SASs, DAs) takes place over UDP/IP.

Some of the servers that use standard protocols such as SNMP or DHCPcommunicate using well-defined ports and message structures. Others useprivate ports and communicate using a system Messaging scheme. Thesemessages are part of the UDP Payload and are described herein.

Communication Within the Access Network

There is no downstream messaging between elements in the Access Network.This implies, for instance, that a SAS does not address the NIUdownstream from it and a DS does not address any downstream SASs andDSs.

In the upstream direction, all messages are carried in the Layer-2Payload and follow the pattern described herein below. The upstreammessages contain the RID of the source and appropriate Control Bitsdescribed above. In such upstream messages, the Layer-2 DestinationAddress is Broadcast; the Layer-2 Source Address is the MAC Address ofthe Source; the Layer-2 Protocol Indicator indicates Message Type.

Message Structure

In an embodiment, the “non-standard” messaging uses the approachdescribed below and shown in FIG. 26. The exemplary message format 850includes a message type (2 bytes) field 852, a message length (2 bytes)field 854 and an information field (1 to 1000 bytes) 856. It should benoted that all messaging between the network servers and a DS/SAS/NIUtakes place over Layer-4 while all messaging within the Access Networktakes place over Layer-2. However, the message structure shown in FIG.26 remains the same. Based on the Message Type, the information is castinto the appropriate structure and processed. The message types includeheartbeat or keep alive, routing table updates and NIU discoverymessages.

Network Management

As noted above in reference to FIG. 3, the Access Network includes anetwork management system (NMS) server 134 that is responsible formonitoring and supervision of the network elements and for provisioningservices. The NMS server communicates with the network elements usingstandard SNMP commands. Each network element, including ODSs, DSs, SASsand NIRs, includes a processor that is given an IP address andimplements the SNMP protocol stack. The NMS server communicates withthese processors to provision services, set control parameters, andretrieve performance and billing data collected by these processors. Thenetwork elements periodically transmit “stay alive” signals to theirupstream peers; the status information based on the received stay alivesignals can be communicated to the NMS server for use in faultdiagnosis.

Services Overview

The Access Network of the present invention provides a Quality ofService (QoS) aware, high bandwidth access medium over cable to homesand small business customers. The Access Network is capable ofsupporting a variety of constant and variable bit rate bearer serviceswith bandwidth requirements ranging from a few kilobits per second toseveral megabits per second, for example, and with Constant Bit RateReal-Time (CBR-RT), Variable Bit Rate Real-Time (VBR-RT) andNon-Real-Time delivery. End-users are able to use these services tosupport applications such as voice telephony, video telephony,multi-media conferencing, voice and video streaming and other emergingservices.

The HFC plant already offers cable television and, in some cases,broadband Internet access via DOCSIS. The cable service providers havemade large investments in the plant and equipment needed to providethese services. The Access Network can be implemented on the HFC plantwithout disrupting legacy systems available on this plant.

Quality of Service (QoS) Classes

The Access Network of the present system provides QoS classes to supportthe various bearer services required by different end-user applications.The QoS classes are described as follows, though other additionalservices can be envisioned for support using the principles of thepresent system.

QoS Class 1 is associated with Constant Bit Rate Real-Time Services(CBR-RT). This QoS class supports real time services such as Voice overIP (VoIP), which have very stringent delay requirements. The servicesbelonging to Class 1 typically have a constant bit rate requirementalthough this class can also include variable bit rate services such asvoice telephony with silence suppression. Most of the applications usingthis service class have a bit rate requirement of for example, a few 10s of kbps to 200 kbps. Total packet delay through the Access Network forthis class is typically less than about 5 milliseconds.

QoS Class 2 is associated with Variable Bit Rate Real-Time Services(VBR-RT). This QoS class supports the large variety of constant andvariable rate bearer services that have a relatively less stringentdelay requirement. Existing and emerging audio and video applicationswith a variable bit rate requirement typically dominate applicationsusing Class 2. The average bandwidth needed for applications using theVBR-RT service class typically range from a few 100 kbps to a few Mbps.For this service class the total packet delay (excluding packetizationdelay) over the Access Network is typically within 15 milliseconds.

QoS Class 3 is associated with Variable Bit Rate Non-Real-Time (VBR-nRT)Services with Throughput Guarantees. This QoS class supports VBRservices with loose delay requirements, but with throughput guarantees.That is, the throughput received by an application using such a serviceis guaranteed over a suitably long time interval (e.g. 1 or 10 seconds);however, there are no guarantees for individual packet delays. Such aservice can offer throughputs of several megabits per second, and isuseful for applications such as video download, or data connectionsbetween offices located at different places.

QoS Class 4 is associated with Unspecified Bit Rate (UBR) Services. ThisQoS class supports UBR services which have no explicit delay orthroughput requirements. The services in Class 4 are always available toan end-user, i.e., no call set up is required for an end-userapplication to be able to send or receive data using the Class 4—UBRservice. In this sense, the UBR service is much like what typical usersof the Internet receive from the latter. The maximum packet size allowedfor this class is made large enough (e.g., around 1600 bytes) to beconsistent with packet sizes allowed on typical Ethernetimplementations. The typical throughput end-users can receive via UBRservices is substantially larger (e.g., a few Mbps) than what isavailable via DOCSIS.

Since services belonging to the first three QoS classes, i.e., CBR-RT,VBR-RT and VBR-nRT, have explicit QoS guarantees, they have to beestablished via call setup or provisioning as the system needs to ensurethat it has adequate resources to deliver the requested QoS guarantees.The UBR service, on the other hand, is always available, as it does notmake any throughput or delay guarantees.

QoS Support

In this section the features that are included at the various networkelements in order to deliver services with their associated QoSrequirements are described.

As noted herein above, for each packet entering the Access Network anAccess Network Header 806 (FIG. 20) is inserted by the correspondingNIU. A packet belonging to the traffic stream associated with aparticular service is identified as belonging to a specific QoS class onthe basis of the QoS field 818 in the Access Network Header. Once insidethe Access Network, the treatment received by a packet at all networkelements such as DSs and SASs is determined entirely by the value storedin its QoS field.

QoS Features at NIU for Upstream Traffic

The NIU represents the ingress point of the Access Network, and, assuch, plays an important role in the overall QoS management. Thefeatures provided at the NIU for QoS support include packetclassification, traffic policing, egress buffer control and transmissionscheduling.

The specific details of the features that support QoS management overthe Access Network are now described with reference to FIG. 28 whichshows stages of packet flow through an NIU. The packet flow stagesinclude packet classifier 1302, per-service instance traffic policing1304, service-specific packet processing 1306, QoS Class based egressbuffer control 1310, transmission scheduler 1312 and modem buffer 1314.

An incoming upstream packet is first processed through packet classifierl302, which identifies the service instance to which the packet belongs.The next stage the packet passes through is the policing stage 1304.This stage monitors the flow associated with each service instance, anddrops all of those packets that do not meet the policing criteria. Thepackets that pass this stage are then handed over to the appropriateservice modules 1308 where they undergo service specific processing. Atthe end of the packet processing stage 1306 a packet is ready to betransmitted out. It is now handed to the egress buffer control stage1310, which places the packet in the egress buffer associated with itsQoS class. (Each QoS class has a fixed buffer space allocated to it onthe egress side. There is no distinction between different serviceinstances belonging to the same QoS class.) A packet that findsinsufficient space in the egress buffer is dropped. Those that areaccepted await their turn at transmission, which is determined by thetransmission scheduler 1312. The transmission scheduler takes intoaccount the relative priorities of different QoS classes and the flowcontrol flags it has received from the upstream SAS device in itsdecisions regarding the time and order of packet transmission. A packetselected for transmission by the scheduler is copied into the modembuffer 1314, from where it is transmitted out over the drop.

The specific details of the processing stages that support QoSmanagement are now described.

The NIU receives packets from end-user applications over the 100BaseTEthernet interface that connects it to PCs and other devices on thesubscriber premises. The packets are, therefore, compliant with theEthernet standard. The NIU, as noted above, generates an Access Networkheader for the packet for use over the Access Network, and fills up theQoS field according to the QoS class associated with the correspondingtraffic stream. Also, the NIU needs to police the traffic it receivesfrom the subscriber to protect network resources. All of this processingrequires identification of the service instance to which the packetbelongs. Once a packet's service instance is determined, its QoS classand other processing requirements (e.g., VLAN tagging) can be determinedas function of the service instance. Consequently, the first major stepin the processing of an upstream packet is packet classification,meaning the identification of the service instance to which a packetbelongs.

In order to be able to determine the service instance associated with anincoming upstream packet, the NIU uses a filtering table, such as onewith the following format:

TABLE 16A Packet Classification (Filtering) Table Source Source SourceDestina- Destina- Destina- MAC IP Port tion MAC tion IP tion ServiceAddress Address ID Address Address Port ID Instance XYZ * * * * * S1 *ABC D * EFG H S2

Rows of the packet classification table identify the service instancesassociated with different flows. Not all address fields in Table 16 needto be filled with actual address fields to enable classification.“Wildcards” are also allowed, which match with any value in thecorresponding field of the packet being classified. For instance, thefirst row of Table 16A has the “Source MAC Address” field filled withthe MAC address (XYZ) of some device, and all other address fieldsfilled with a “*” which is the wildcard. This means that all packetswhose source MAC address equals XYZ should be considered as belonging tothe service instance S1, regardless of the contents of the other addressfields in that packet. On the other hand, the second row indicates thatfor a packet to be identified as belonging to service instance S2, itssource IP address and port should be ABC and D, respectively, and thedestination IP address and port should be EFG and H, respectively.(Source and destination MAC addresses are wildcards in this case,meaning that they will be ignored in the identification of a packet asbelonging to S2.)

The packet classification table allows multiple rows to correspond tothe same service instance. This feature can be particularly useful inthe handling of VPN services between office locations. In thesesituations, all devices in an office location can be communicating withother locations via the same VPN service (with some QoS guarantees.)These devices could be identified by their MAC addresses. Theclassification table, then, would appear to be composed of multiplerows, each specifying the MAC address of a device in the source MACaddress field (with the rest of the address fields filled withwildcards), and all having the identifier of the (same) VPN service inthe service instance field.

Once the service instance associated with a packet is determined, itprovides a pointer to the appropriate row of a “service descriptor”table, an example of which is shown in Table 16B:

TABLE 16B Service Descriptor Table Service Mandatory/QoS SpecificRelated Attributes and Max. Max. Service Service Optional Bit BurstPacket QoS Instance Type Attributes Rate Size Size Class S1 VPN Value 1Value 2 Value 3 Value 4 S2 L2TP Value 5 Value 6 Value 7 Value 8

Each row of the service descriptor table corresponds to a unique serviceinstance, and lists all the relevant attributes that define the service.Some of these attributes define the type of service, e.g. L2TP, VPN,which, in turn, define some of the processing that the packet undergoesat the NIU. Some more attributes can define additional actions to beperformed on the packet. These actions include attaching a VLAN tag, orsetting the TOS byte in a specific manner. The latter is a usefulfeature that can enable service providers using Diffserv based packethandling in their wide area network to provide preferential treatment todelay sensitive traffic even beyond the Access Network. These attributesare service specific or optional. In addition, each row of the servicedescriptor table contains some QoS related attributes which are defined(i.e. assigned a value to) for every service instance established at anNIU. These QoS related attributes include sustainable bit rate (orthroughput), maximum burst size, maximum packet size and QoS class.

As noted above a call or connection that requires any service other thanUBR uses an explicit call setup. During call setup the CAC serverensures that the system has adequate resources to deliver the requiredquality of service to that call before allowing the call to beestablished. Thus, when the CAC server grants a call request to an enduser device, it also informs the corresponding NIU of the flowidentifier information associated with the corresponding call and itsQoS class. Similarly, when a provisioned service is being established,the provisioning server interacts with the CAC server to ensure that thesystem has adequate resources to deliver the desired QoS. Once thisinteraction is over and it has been found that the desired service levelcan be supported, the CAC server informs the concerned NIU about theservice being provisioned. This information includes the type of theservice being provisioned, criteria for identifying packets belonging tothe service instance, service specific and optional attributes, andmandatory (QoS related) attributes of the service. When the NIU receivesthis information from the CAC server, it adds one or more rows to thepacket classification table to identify packets belonging to thatservice instance, and adds one row to the service descriptor table tohold information related packet processing and QoS management associatedwith the service (instance) being set up. Conversely, when a callterminates or a provisioned service is being discontinued, the CACserver informs the NIU of the corresponding event. The NIU, then,deletes from the packet classification and service descriptor tables theentries associated with the call or the provisioned service beingdiscontinued.

Traffic Policing and Transmission Scheduling

Another important function performed by the NIU is the policing of thetraffic it receives from the subscriber and forwards to the AccessNetwork. Traffic policing is desirable for QoS management in thatwithout these features, there is no control over the traffic beingreleased into the network at different QoS levels. This control is usedfor delivering the QoS associated with different service classes sincecertain quality metrics (e.g., low delays) cannot be achieved unless thetotal traffic associated with certain QoS classes is held within certainlimits. Traffic policing is also used to prevent “cheating” bysubscribers.

In the present system, traffic policing at the NIU is implemented using“token buckets” which regulate the sustained flow rate of traffic intothe network around it's negotiated value while allowing some localvariability in the traffic inflow around its long-term average. In anembodiment, the policing of traffic is performed on a “per serviceinstance” basis. That is, there is a token bucket associated with eachservice instance set up at an NIU, and it regulates the flow of trafficassociated with that service instance.

As shown in FIG. 28, the traffic policing stage 1304 immediately followsthe packet classification stage 1302. That is, traffic policing precedesthe service specific packet processing stage 1306, which typicallyrequires a significant amount of NIU processing capacity. This orderingensures that the NIU processing capacity is not wasted on non-compliantpackets that get dropped at the policing stage.

For each service instance, there is a token bucket, which ischaracterized by two parameters: token_size and max_burst_size whichrespectively determine the average sustainable traffic rate and thelargest traffic burst that the token bucket allows into the network.

The NIU maintains a clock, which is used for updating the state of thetoken buckets for all service instances. the NIU also maintains a statevariable, X, for each token bucket. At the end of each clock period ofduration T ms, the NIU updates the state variable, X. It does this usingthe following update equations:X<−X+token_size  (Eq. 1)If (X>max_burst_size)X<−max_burst_size  (Eq. 2)

Since the clock period T is fixed, the token size parameter (token_size)of a token bucket determines the rate at which the corresponding serviceinstance can transmit data on a sustained basis. Specifically, iftoken_size is measured in bits and the clock period, T, is measured inmilliseconds, then the maximum sustainable data rate for thecorresponding service class is given by token_size/T kbps.

Packet handling and token bucket updates are done independently, in anasynchronous manner. Whenever a packet is received by an NIU from itssubscriber interface, it is passed through the packet classifier toidentify its service instance. Once the service instance of a packet isidentified, the packet is handed to the corresponding traffic policeblock 1304. The latter compares the length of the packet with thecurrent value of its state variable X. If X is smaller than the packetlength, the packet is dropped right away. Otherwise, it is passed on tothe next stage (service specific processing 1306) based on its serviceinstance, and the value of X is decremented by the packet length.

Service Specific Packet Processing

Service specific packet processing involves the processing a packetundergoes at the NIU depending on the service instance to which itbelongs. For instance, such processing, in the case of VLAN based VPNservices, can include attaching a VLAN tag to the packet. It can be muchmore elaborate in the case of some other services such as L2TP based VPNservices. The service modules 1308 which carry out service specificprocessing, have FIFO queues where packets awaiting processing are linedup. Limits can be placed on the size of these queues in order to ensurethat packets waiting for service modules having temporary problems (e.g.when under malicious attack) do not end up occupying large segments ofmemory. If a packet handed to a service module for service specificprocessing finds that the corresponding queue size has reached itslimit, it is immediately dropped. Packet size restrictions can also beenforced at this stage. For instance, if a service instance is set upwith a limit on the maximum packet size, a packet belonging to thatservice instance can be dropped at this stage if its size exceeds thecorresponding limit. (Alternatively, packet size restrictions may beenforced at the traffic policing stage.)

For convenience, the packet processing stage 1306 also includes someservice independent processing that all packets need to undergo. Thisservice independent processing follows service specific processing, andincludes such things as the attachment of a Access Network label, withthe QoS field filled with the QoS class associated with the packet'sservice instance, and recalculation of the packet's Ethernet check-sum.At the end of this processing, a packet is ready to go out and is handedto the egress buffer control stage 1310.

Egress Buffer Control

Since there are four QoS classes in the embodiment of the AccessNetwork, there are four egress buffers—one for each class—in each NIU.Each egress buffer is allocated a fixed amount of space to hold packets.The egress buffer control stage 1310 performs a simple operation. When apacket is handed to this stage, it checks if the egress bufferassociated with the packet's QoS class (which is a function of itsservice instance) has adequate space (in terms of byte count) to holdthe packet. If it does, the packet is placed in that buffer where itwaits for its turn at transmission. Otherwise, it is dropped.

Transmission Scheduler

The transmission scheduler 1312 has the responsibility to hand packetsto the modem in a manner that is consistent with the prioritiesassociated with different QoS classes and the flow control restrictionsimposed by the SAS device. The latter requirement is important since apacket handed to the hardware for copying into the modem buffer cannotbe stopped from being transmitted.

QoS class 1 (which is associated with CBR-RT services) is at the highestpriority, followed by QoS class 2, QoS class 3 and QoS class 4 in thatorder. The transmission scheduler observes absolute, but non-preemptivepriorities between these QoS classes. Moreover, the NIU periodicallyreceives flow control flags from the SAS device, which, for each QoSclass, indicate whether the NIU has permission to transmit a packetbelonging that class. The NIU stores in a register the values of mostrecent flow control flags it has received from the SAS. The transmissionscheduler uses these values in its scheduling decisions

Because of the fact that once packets are handed to the hardware (theDMA controller, in particular) for copying them into the modem bufferthey cannot be stopped from being transmitted, tight coordination isrequired between the transmission scheduler and the hardware to ensurethat only a manageable quantity of packets is handed to the hardware atany time. This is achieved as follows.

The modem buffer 1314 has a limited amount of buffer space e.g., 3200bytes. Periodically, e.g., every 100 microseconds, the hardware writesinto a designated register the amount of memory space available in themodem buffer at that instant, and sends an interrupt to the CPU. The CPUprocesses this interrupt at the highest priority, and as part of thisinterrupt processing calls the function representing the transmissionscheduler task. When the transmission scheduler is called, it reads(from the relevant registers) the values of the most recent flow controlflags as well as the memory space (in bytes) available in the modembuffer. It uses this information in its scheduling decisions as shown inFIG. 29.

In FIG. 29, the variable, Flag[p], stands for the current value of theflow control flag associated with QoS class p (where p=1, 2, 3 or 4.)The variable Available_Memory stands for the memory space (in bytes)available in the modem buffer. As shown in FIG. 29, when the CPUprocesses the hardware interrupt, it calls the transmission schedulertask, which reads the variable, Available Memory, from a designatedregister. The value of this variable is decremented (by the length ofthe packet) every time a packet is handed to the DMA controller forcopying into the modem buffer. Once the transmission scheduler task isexited, the DMA controller can copy the packets independently, withoutinvolving the CPU in this process. The copying can take at most 10 to 20microseconds, which is well short of the interrupt interval.

Note that the total byte count of packets handed to the DMA controlleron any one execution of the transmission scheduler never exceeds theavailable memory in the modem buffer. Also, if the transmissionscheduler encounters a packet that cannot be copied into the modembuffer because it would violate the available memory constraint, thescheduler is exited even if there are smaller packets at lower prioritylevels in their respective egress buffers. This is to prevent small lowpriority packets from overtaking large higher priority packets becauseof their size.

In another embodiment, traffic shaping/policing is done on a per QoSClass basis. This alternate traffic shaping/policing approach used atthe NIU is described with reference to FIGS. 30-33. Queue[1] 862A,Queue[2] 862B, Queue[3] 862C, Queue[4] 862D (referred to generally as862) are input buffers associated with the four QoS classes. The inputbuffers receive packets on lines 860A, 860B, 860C, 860D from QoS mappinglogic 858, which determines the QoS class as noted above for incomingpackets received from the end user devices on line 857. Flow Control(FC) Flag 1, Flag 2, Flag 3, Flag 4 indicated at 864A, 864B, 864C, 864D,respectively, are transmission control flags each of which correspondsto one of the four QoS classes. The FC flags are referred to generallyas 864. In addition, for each QoS service class there is an associatedtoken bucket (TB) indicated at 865A, 865B, 865C, 865D. Buffers 870A,870B are transmit buffers, each of which is large enough to store a fullsized (e.g., maximum transmission unit or MTU size) packet. The NIU hastwo transmit buffers so that the transceiver can transmit one packetwhile scheduler 866 copies another packet into the other transmit bufferthat is ready for transmission. Buffer flags 868A, 868B correspond tothe transmit buffers. The traffic shaping/policing is managed by thescheduler 866.

In the alternate embodiment described with reference to FIGS. 30-33, foreach QoS class, there is a token bucket and an input buffer. Each tokenbucket is characterized by two parameters: token_size and max_burst_sizewhich respectively determine the average sustainable traffic rate andthe largest traffic burst that the token bucket allows into the network.Note that the NIU uses a token bucket for each QoS class, rather thanfor each traffic flow. Thus, the parameters associated with the tokenbucket and the size of the input buffer for a QoS class can bedetermined by the total traffic associated with that class that isexpected to pass through the particular NIU

The NIU maintains a clock that is used for updating the state of thetoken buckets for all QoS classes. In addition, the NIU maintains astate variable, X, for each token bucket. At the end of each clockperiod of duration T, the NIU updates the state variable X using theupdate equations (Eq. 1) and (Eq. 2) noted above for the firstembodiment.

Since the clock period T is fixed, the token size parameter (token_size)of a token bucket determines the rate at which the corresponding serviceclass can transmit data on a sustained basis. Specifically, iftoken_size is measured in bits and the clock period, T, in milliseconds,then the maximum sustainable data rate for the corresponding serviceclass is expressed as token_size/T kbps.

Packet handling and token bucket updates are done independently, in anasynchronous manner. FIG. 31 is a flow diagram that represents thepacket mapping and input control logic of the NIU. Whenever a packet isreceived by an NIU from its subscriber interface at 904 and hasundergone service specific processing, it is passed through the mappinglogic 858 (FIG. 30) to identify its QoS class at 906. Once the class ofa packet is identified, and an Access Network Header is attached to it,the NIU at step 908 checks if there is adequate space in the inputbuffer 862 associated with the QoS class of the packet to accommodatethe packet. At 910 the packet is dropped (line 861 in FIG. 30) if theinput buffer has insufficient space for the packet. Otherwise at 912 thepacket is admitted to the proper input buffer and scheduled fortransmission by the scheduler 866 in a FIFO order within that class.

The token buckets 865 regulate the outflow of the corresponding trafficstreams. When the accumulated credit as indicated by the state variableX for a particular token bucket exceeds the length of the first packetwaiting in the corresponding input queue, it means that the packet cannow be transmitted over the output link without violating the flowconstraints imposed on the flow associated with the corresponding QoSclass and represented by its token bucket.

In the case of an NIU, there are four input queues, each of which mayhave a packet that is ready for transmission as determined by thecorresponding token bucket. Also, the SAS to which the NIU is directlyconnected periodically sends ON-OFF flow control signals to the NIUindicating to the latter from which of the four QoS classes the SAS isready to receive traffic. Specifically, once every TF milliseconds(e.g., 10 us), the SAS sends to the NIU a signal carrying fourindicators, one for each QoS class. If the indicator associated with aQoS class is ON (e.g., represented by a flag value of 1), the NIU isfree to send the SAS traffic belonging to the particular QoS class. Ifthe indicator value is OFF (e.g., represented by a flag value of 0), theNIU holds traffic belonging to that QoS class until the indicator valueis changed to ON.

The NIU stores the most recent values of the indicators in the four flowcontrol (FC) flag fields 864 (Flag 1, Flag 2, Flag 3 and Flag 4). The FCflag fields indicate whether the NIU is free to forward trafficbelonging to their respective QoS classes. Thus, the NIU not only has tomake a choice between the multiple packets that may be ready fortransmission (as determined by their respective token buckets), but alsohas to take into account whether it has permission to forward trafficbelonging to particular QoS classes (as indicated by the correspondingFC flag values). The scheduler 866 carries out this task in a mannerthat obeys the constraints imposed by the token buckets and the flagvalues, while attempting to minimize the delays for the first three QoSclasses (i.e., Classes 1, 2, 3).

As noted above, the NIU has two transmit buffers 870A, 870B (FIG. 30) sothat the transceiver can transmit one packet while the scheduler 866 iscopying another packet into the other transmit buffer that is ready fortransmission. To ensure that the transceiver transmits packets in thesame order in which the scheduler has copied them into the transmitbuffers, the pointers Next_Write_Buffer and Next_Read_Buffer and thebuffer flags 868A, 868B (i.e., Buffer 1 flag and Buffer 2 flag) areused.

The scheduler alternately uses the two transmit buffers to copy packetswhich are ready for transmission. However, it cannot copy a packet intoa buffer unless the corresponding buffer flag 868 is ON which indicatesthat the buffer is empty. When the transmitter has copied a packet intoa buffer, it turns the buffer flag OFF. The transceiver turns it back ONwhen it has finished transmitting the corresponding packet so that thetransmit buffer is again empty. This logic is clearly indicated by FIGS.32 and 33. FIG. 32 is a flow diagram that illustrates the schedulerlogic and FIG. 33 represents the transceiver logic.

Referring to FIG. 32, the scheduler uses non-preemptive prioritiesbetween the QoS classes, with Class 1 at the highest priority level andClass 4 at the lowest. Thus, whenever the scheduler has to make a choicebetween packets belonging to two different QoS classes, both of whichare ready for transmission (i.e., the corresponding token buckets haveenough credit to accommodate the length of those packets and thecorresponding FC flags 864 (FIG. 30) are ON), the scheduler selects fortransmission the packet belonging to the higher priority class. Thepacket selected for transmission is copied into the transmit bufferindicated by the value of the Next_Write_Buffer provided thecorresponding buffer flag 868 is ON. When the scheduler copies a packetinto a transmit buffer, it decrements the accumulated credit, thevariable credit[p], for the corresponding token bucket by the length ofthe copied packet. The variable credit[p] is the same as the variable Xin the foregoing equations.

Note that if the buffer flag corresponding to the Next_Write_Buffer isOFF, the scheduler has to wait until it is turned back ON. However, oncea packet has been selected for transmission and the scheduler startscopying it into a transmit buffer, it does not interrupt this process tohandle a higher priority packet which may have become ready fortransmission in the meantime. Thus, after finishing copying a packetinto a transmit buffer, the scheduler scans the input queues going fromthe highest priority queue to the lowest priority queue to see which isthe highest priority packet waiting at the head of its queue which isready for transmission.

The scheduler logic begins with initialization of the parameters,including setting Next_Write_Buffer=Next_Read_Buffer=1, and settingBuffer Flag 1 and Buffer Flag 2 to ON at 914. At 916, the schedulerchecks whether the buffer flag associated with the buffer indicated bythe value of Next_Write_Buffer is set ON. If the buffer flag is OFF, thescheduler waits and tries again. If the buffer flag is ON, the schedulerbegins at the highest priority (p=1) at 918 and checks whether the FCflag for the corresponding queue is ON at 920. If the FC flag is OFF,the scheduler increments the priority counter at 932. If the FC flag isON, the scheduler checks at 922 whether the corresponding queue isempty. If the queue is empty, or if the FC flag is OFF, the prioritycounter is incremented. If the queue is not empty, the scheduler checksat 924 whether the token bucket for that queue has enough credits. Ifthere are enough credits, at 926 the credits are decremented by thepacket length and the packet is copied into the buffer indicated byNext_Write_Buffer at 928. At 930 the buffer flag associated with thebuffer indicated by Next_Write_Buffer is turned OFF.

The transceiver logic is illustrated in the flow diagram of FIG. 33. Thetransceiver transmits packets in the order in which the scheduler 866has copied them into the transmit buffers 870 (FIG. 30). The transceivermaintains a pointer Next_Read_Buffer that is initially synchronized withthe pointer Next_Write_Buffer maintained by the scheduler. After thecorresponding buffer flag has been turned OFF by the scheduler at 936,the transceiver starts transmitting the contents of the buffer pointedto by Next_Read_Buffer at 938. Note that when the buffer flag is OFF itmeans that the corresponding transmit buffer has a packet that is readyfor transmission. After checking that transmission of the contents ofthe buffer has been completed at 940, the buffer flag associated withthat transmit buffer is turned ON at 942. At 944 the transceiver changesthe Next_Read_Buffer to point it to the other transmit buffer andreturns to 936 to wait until the corresponding buffer flag is turnedOFF.

Note that the transceiver operates completely oblivious to the FC flags864 (FIG. 30) sent by the SAS and maintained by the NIU. If there is apacket in the transmit buffer pointed to by Next_Read_Buffer and thecorresponding buffer flag is OFF, the transceiver transmits that packetregardless of the state of the FC flag maintained by the NIU. It is theresponsibility of the scheduler not to copy packets into the transmitbuffers if the SAS is not ready to receive them as indicated by thecorresponding FC flags.

QoS Features at Intermediate Network Elements

In this section the QoS management features are described that areincluded at intermediate network elements such as DSs and SASs. AlthoughSASs and DSs are distinct devices, they both include similar features tosupport QoS management.

The QoS management features at SASs and DSs include upstream packethandling, upstream flow control and downstream packet handling.

Upstream Packet Handling

The upstream packet handling features ensure low latency for the delaysensitive, high priority packets while keeping the overall throughputhigh and maintaining fairness in the treatment of the traffic belongingto the lowest (UBR) priority class. In order to achieve this objective,an intelligent transmission scheduling discipline is used at theintermediate network elements. This scheduling discipline, whichcombines priorities with weighted round robin scheduling, provides forlow delays for high priority traffic and fairness in the treatment ofUBR traffic.

The transmission scheduling discipline for intermediate network elementsis defined such that for each such device, each of the top three QoSclasses (i.e., Classes 1,2 and 3) have a common queue while there areper link queues for the fourth (UBR) class (i.e., Class 4). Thus, for anintermediate network element that has K links bringing upstream trafficto it, there are 3 common queues at that device—one for each of the topthree QoS classes—in addition to K queues (one per link) for the fourthQoS class.

FIG. 34 illustrates upstream traffic queuing at an intermediate networkelement which has K=3 links, the links being denoted 950A, 950B, 950C.Traffic streams of packets on the upstream links 950A, 950B, 950C forthe top three QoS classes are queued in corresponding common queues952A, 952B, 952C. Thus, QoS Class 1 packets of streams 950A-1, 950B-1,950C-1 are queued in common queue 952A. Likewise, QoS Class 2 packets ofstreams 950A-2, 950B-2, 950C-2 are queued in common queue 952B and QoSClass 3 packets of streams 950A-3, 950B-3, 950C-3 are queued in commonqueue 952C. In addition, there are per link queues 954A, 954B, 954C forthe Class 4 QoS packets. Thus, packets in stream 950A-4 are queued inlink queue 954A, packets in stream 950B-4 are queued in link queue 954Band packets in stream 950C-4 are queued in link queue 954C. Transmissionscheduler 956 manages the queues as described further herein.

The transmission scheduling discipline observes strict, non-preemptivepriorities between the QoS classes, and uses a weighted round robindiscipline to allocate the available system capacity (i.e., trunkbandwidth) in a fair manner to UBR traffic carried by different links.Packets in the same queue follow the FIFO order among them. Moreover, itdoes not schedule a packet for transmission if the flow control flag forthe corresponding QoS class is OFF.

Strict priorities between classes means that if two packets belonging todifferent QoS classes are ready for transmission in their respectivequeues and the corresponding flow control flags are on, the schedulertakes up for transmission that packet which belongs to a higher priorityclass. Thus, after every transmission, the scheduler checks the queuesto look for the highest priority packet that is ready for transmission.If the highest priority packet that is ready for transmission belongs toone of the top three QoS classes and if the corresponding flow controlflag is ON, the packet is immediately taken up for transmission. If thequeues associated with the top three QoS classes are empty, the per-linkqueues associated with the fourth (UBR) class are inspected for packetsawaiting transmission. As mentioned earlier, a weighted round robindiscipline is used to schedule transmission of the packets belonging tothe fourth QoS class. FIGS. 35A, 35B illustrate the logic used by thescheduling discipline that combines priorities with weighted round robinscheduling. The loop indicated between blocks 1008 and 1012, 1016 (FIG.35A) relate to servicing of the priority queues for the top three QoSclasses. The flow blocks in FIG. 35B relate to servicing of the per-linkqueues associated with the fourth (UBR) class.

The logic embodied in the flow diagram of FIG. 35B can be summarized asfollows. Every link queue associated with the lowest priority QoS class(class P in the notation of the flow diagram) has a service quantumassociated with it. The quantum (or weight) associated with link queue Jis denoted by Q_(J). The magnitude of the quantum associated with a linkqueue is proportional to the share of the available capacity that thescheduler intends to allocate to that queue. In addition, there is aparameter called Max that determines the maximum credit a queue canaccumulate. The parameter Max as well as the service quanta associatedwith different links can be downloaded to the intermediate networkelements by the NMS at system setup or provisioning time. A suitablevalue for the Max parameter is 1600 bytes which is large enough toaccommodate the largest sized packets in the system.

A basic weighted round robin discipline is now described to facilitatean understanding of the functioning of the actual service disciplineused at intermediate network elements.

In a basic weighted round robin service discipline, the system keepstrack of the “credit” accumulated by each queue. The credit associatedwith link queue J is denoted by D_(J) in FIGS. 35A, 35B. Whenever theserver (the transmission scheduler in this case) moves to serve one ofthe queues, say link queue J as indicated at block 1028, it incrementsthe credit D_(J) by the amount Q_(J) as indicated at block 1038. IfD_(J) is found to be greater than the parameter Max, D_(J) is set equalto Max. The server then looks at the first packet in link queue J at1042. If the length of this packet is less than or equal to D_(J), itdecrements D_(J) by the length of the packet, removes the packet fromlink queue J and starts transmitting it at 1050. When the packettransmission is over, it looks at the new packet that is now at the headof link queue J to see if its length is less than or equal to thecurrent value of D_(J) and repeats the process until either link queue Jis empty at 1032 or the length of the first packet at the head of queueJ is greater than D_(J). If it is the former, the server sets D_(J) tozero at 1034, otherwise it leaves D_(J) unchanged. In either case, theserver moves on to the next link queue J+1 at 1030 and repeats what itdid at link queue J. In case J corresponds to the last queue, the servermoves back to the first queue.

The transmission scheduling discipline works much the same way as thebasic weighted round robin discipline. Here, too, when the server movesto one lowest priority (i.e. UBR) queue from another, the accumulatedcredit for the former is incremented by its service quantum. Also, apacket waiting at the head of a UBR queue cannot be scheduled fortransmission unless the accumulated credit for that queue is at leastequal to the packet's length when the server comes to that queue. Theonly difference is the presence of high priority queues that have anon-preemptive priority over the UBR queues. Thus, at the end of everypacket transmission, the high priority queues are inspected at 1008,1010 (FIG. 35A) to see if any of them have a packet ready fortransmission. As a consequence, when the server is visiting a UBR queue,the visit can be broken (after a packet transmission) in order totransmit higher priority packets that may have arrived in the mean time.When the server finishes transmitting the high priority packets at 1016,it returns to the same UBR queue it was serving when it had to leave toserve the high priority queues. When this happens, it is considered acontinuation of the same visit to the UBR queue so that its credit isnot incremented by its service quantum. The UBR queue's credit will beincremented the next time the server returns to it after visiting allother UBR queues. The variable LP_Active in FIGS. 35A, 35B indicateswhether the server's visit to a UBR queue was broken to serve highpriority queues.

Upstream Flow Control

Upstream flow control is an important QoS management feature that isused at all intermediate network elements. Upstream flow control is usedsince the total rate at which different trunks or feeders can bringtraffic to an intermediate element can far exceed the rate at which thistraffic can be carried further upstream. Since the total rate at whichthe traffic can converge to a DS can be several Gbps, to address thisproblem by providing a large enough buffer space is impractical. Flowcontrol provides a better approach. Upstream flow control in DSs andSASs is now described.

As described earlier and shown in FIG. 34, each network element (a DS ora SAS) has one common queue for each of the top three QoS classes andper link queues (i.e. one for each link) for the UBR class. Each queuehas a separate (and fixed) allocation of the buffer space set aside forthe upstream traffic. The network element keeps track of the bufferoccupancy and maintains a flag for each of these queues. It also has twoparameters—a high threshold TH_(H) and a low threshold TH_(L)—for eachqueue. The parameters—buffer space allocation, high and lowthresholds—are downloaded at system setup time. The flag values for allqueues are initialized to ON (i.e. set to 1).

The flags are turned ON and OFF in an asynchronous manner at packetarrivals and departures. When a packet arrives at the network element,the element ensures that it has adequate buffer space in the appropriatequeue to accommodate the packet. If the queue has insufficient space,the packet is dropped. Otherwise it is filed in the queue. The networkelement also updates the buffer occupancy for the queue if the packet isadmitted. If the buffer occupancy exceeds the high threshold for thatqueue, the corresponding flag is turned OFF (=0) as indicated by bufferlevel BL1 for buffer 1100 in FIG. 36. Buffer occupancy for a queue isalso updated after a packet has been removed from it after itstransmission further upstream. If the buffer occupancy for the queue isfound to be below the corresponding low threshold, the flag for thatqueue is turned ON (=1) as indicated by buffer level BL3 for buffer1104. The flag does not change for a buffer level BL2 between the highand low thresholds as shown for buffer 1102.

The network element (e.g., A) periodically sends the current values ofthe relevant flags to all of the network elements that are directlyconnected to it in the downstream direction. Thus, the element A willsend to element B (which is directly connected to the former in thedownstream direction) the current values of the flags associated withthe top three priority queues as well as the current value of the flagassociated with the queue meant for UBR traffic received by element Afrom element B. The flag values are sent to element B using the special“flow control” bits periodically inserted into the byte stream asdescribed earlier.

Each network element (DSs, SASs and NIUs) maintains four flags—onecorresponding to each of the four QoS classes—for the traffic that itsends upstream. The flag values are updated when the element receivesthe flow control byte from the element directly connected to it in theupstream direction. Thus, when element B receives a flow control bytefrom element A, the former updates the values of the flags it maintainsfor the four QoS classes. A network element can transmit (in theupstream direction) a packet belonging to a given QoS class only if thecurrent flag value for that class is 1. Thus element B can transmit apacket belonging to, say Class p, only if the current value of the flagassociated Class p is 1. Otherwise, regardless of the priority level ofthe packet, it must be held up at element B until the flag value forClass p changes back to 1. Note that if a packet belonging to Class p isalready being transmitted when element B receives a flow control bytewhich results in the flag for Class p being turned OFF, element B willcontinue to transmit the packet (i.e. it will not abort thetransmission). However, if there is another packet belonging to Class pthat is also awaiting transmission at element B, it will not be taken upfor transmission until the flag value for Class p is changed back to ON.Note that if the flag value for a higher priority class is OFF whilethat for a lower priority class is ON, the device can send lowerpriority packets even if there are higher priority packets awaitingtransmission.

Downstream Packet Handling

Downstream packet handling is rather simple when compared to upstreampacket handling. In the downstream direction, each outgoing port isallocated a fixed share of the buffer space (equivalent to 2 to 3 MTU).When a packet is received by an intermediate device from its upstreamneighbor, the latter looks up the routing table to identify the port thepacket should be directed to. If the port has adequate buffer space toaccommodate the packet, the packet is copied into the port's transmitbuffer where it awaits transmission over the corresponding link. In thedownstream direction, packets are handled FIFO regardless of their QoSclass.

QoS Features at the Head-End Router

A QoS feature that is included at the Head-End Router relates to ratecontrol and prioritization of traffic belonging to different QoSclasses. The rate control is used since there is no flow control andonly limited buffering capability within the access network except atthe ODS. Consequently, unless the head-end router releases downstreamtraffic in such a manner that it remains within the capacity of everylink that carries it, there could be significant packet losses due tobuffer overflows.

A related feature that is used at the head-end router is buffering andprioritization of traffic. In the downstream direction, traffic fromvarious sources accumulates at the router and the sum total bandwidth ofthe links bringing downstream traffic to the Access Network can easilyexceed the bandwidth of the main access trunk. Consequently, the routerbuffers traffic to avoid potential packet losses. The capability tobuffer traffic is complemented by an ability to prioritize trafficaccording to their QoS class so that high priority traffic does notsuffer large delays in case there is a temporary traffic overload.

Connection Admission Control

Connection admission control is an important part of the overall QoSmanagement scheme in the Access Network. Without connection admissioncontrol, the network cannot ensure that the system has adequateresources to deliver the desired QoS to the various kinds of connectionsthat are established over the Access Network. Connection Admissioncontrol (CAC) is exercised via the Connection Admission Control Server(CAC server) 136 (FIG. 3). The features that are provided at the CACserver in order to exercise connection admission control are nowdescribed.

Every non-UBR connection requiring a guaranteed QoS needs to be given ago-ahead by the CAC server before it can be established over the AccessNetwork. The features provided at the CAC server include call agentinterface features, provisioning interface features, NIU interfacefeatures, CAC server internal features, and signaling features.

Call Agent Interface Features

Typically, most applications requiring a high QoS such as guaranteedthroughput at a certain level and some limit on packet delays involvesignaling between the end-user application and a call agent 140 (FIG. 3)in the service provider network. For instance, a voice over IP (VoIP)call involves signaling between the end-user application or aresidential gateway that resides on the customer premises and callserver (i.e. a call agent) in the service provider network using SIP, orH.323 or some similar protocol. It is the responsibility of the callagent to ensure that the system has adequate resources to provide therequired QoS to the connection being set up. Within the Access Network,which forms the access portion of the end-to-end connection, it is theCAC server 136 (FIG. 3) that keeps track of the system resources thatare available at any time. The call agent is completely oblivious to thestate of the Access Network, which is likely to be dealing with manysuch call agents handling connection requests from many kinds ofapplications. Therefore, the call agent needs to interact with the CACserver to see if the Access Network has adequate resources for the call.

The following protocol and the associated messages are defined to enablea call agent to interact with the CAC server to reserve resources for aconnection.

Resource Reservation Protocol

A simple protocol is defined to enable a call agent to interact with theCAC server. This protocol is intended to identify the features that needto be supported by the signaling protocol between the CAC server andcall agents. Since the call agents are non-proprietary entities, theactual signaling protocol is that which is supported by the call agents,e.g., MGCP.

When a call agent wants to reserve resources for a connection, it sendsa Resource_Request message to the CAC server as shown in FIG. 37A. Allmessages in this protocol begin with a message type field 1112 that isone byte long. Besides the message type field, the Resource_Requestmessage includes an identifier 1114 of the call agent, an identifier1116 of the connection for which resources are being requested, the IPaddress and port number 1117 of the end-user device attached to theAccess Network that is involved in that connection, the IP address andport number 1118 of the far end device and a traffic descriptor 1120.

The identifier of the call agent can be its public IP address. Theidentifier of the call is a four-byte integer that has been selected bythe call agent to refer to that connection. The call agent can use thisidentifier to refer to this connection throughout its lifetime. Withinthe CAC server the identifier of the call agent and the identifier ofthe connection are together used to identify the connection so thatthere is no confusion even if two different call agents used the sameconnection identifiers to refer to two different connections. Thetraffic descriptor 1120 contains five fields: the sustained throughputrate 1122 needed for the connection, the peak rate 1124 at which it islikely to transmit data, the maximum burst size 1126 that it cantransmit at the peak rate, the maximum packet size 1127 and the delayrequirement parameter 1128.

When the CAC server receives a Resource_Request message 1110, itinspects its internal resource usage database to see if the system hasadequate resources to deliver the QoS needed for the connection beingestablished. If the system has adequate resources (according to itsinternal policies), the CAC server updates its resource usage databaseto account for the connection being established, and responds to thecall agent with a Request_Grant message 1130. If the system does nothave adequate resources, the CAC server responds with a Request_Denialmessage 1134. The formats of these two messages are as shown in FIGS.37B and 37C respectively. Each includes a CAC Server identifier field1132.

The Connection Identifier field 1116 used in both Request_Grant andRequest_Denial messages is filled with the same connection identifierused by the call agent in the original Resource_Request message.

The call agent typically is involved in resource reservation activitieswith some other entities in the wide area network. If it receives theneeded resources from all of these entities, it sends a Resource_Commitmessage to the CAC server. This message is an indication to the CACserver that the connection has been established. The CAC server respondsto the Resource_Commit message with either a Commit_Confirm message or aRelease_Confirm message. The former is a confirmation that the resourceshave been committed to that connection; the latter is an indication thatalthough the resource request received earlier from the call agent wasgranted by the CAC server, the CAC server now wants to tear down theconnection. In the former case, the end-users involved in the call canproceed to exchange data. In the latter case, the call agent can teardown the connection by sending appropriate messages to the end-users.The formats of the Resource_Commit 1136, Commit_Confirm 1138 andRelease_Confirm 1140 messages are as shown in FIGS. 37D, 37E and 37Frespectively.

In the case of a call that has been established via the proceduredescribed above, when an end-user indicates to the call agent that theconnection should now be terminated, the call agent sends aResource_Release message 1142 to the CAC server. The CAC server thenreleases the resources committed for that connection, updates itsresource usage database and sends Release_Confirm message to the callagent. The format of the Resource_Release message is as shown in FIG.37G.

The state diagram of the CAC server logic for keeping track of changesin the state of a connection and the corresponding CAC server actions isas shown in FIG. 38. The connection states include no connection 1150,NULL state 1154, RESERVED state 1166 and committed state 1170.

A similar resource reservation protocol can be used between theProvisioning Server 135 (FIG. 3) and the CAC Server in order to enablethe former to establish provisioned services. The messages and protocolstate transitions in this case can be similar to the messages and statetransitions described for the call agent above. However, the format ofthe messages in this case are more flexible to accommodate the varietyof service options and packet classifier information needed to supportprovisioned services. For example, to support communication between theProvisioning Server and the CAC Server, an exemplary message format forResource_Request and Resource_Commit Messages for Provisioned Servicescan include the following fields: Message type, Provisioning Server ID,NIU ID, Provisioned Service ID, Service type, Traffic Descriptor, PacketClassifier Information and Service specific options. Likewise,Request_Grant and Commit_Confirm Messages for Provisioned Services caninclude the following fields: Message type, CAC Server ID, NIU ID,Provisioned Service ID, Service type, Traffic Descriptor, PacketClassifier Information and Service specific options. Request Denial andRelease_Confirm Messages for Provisioned Services include the fieldsMessage type, CAC Server ID and Provisioned Service ID. AResource_Release Message for Provisioned Services includes Message type,Provisioning Server ID and Provisioned Service ID fields.

In the messages defined above for supporting communication between theProvisioning Server and the CAC Server, the interpretation and structureof the field Traffic Descriptor is the same as that defined for thecorresponding messages between Call Agents and the CAC Server. The NIUID is an identifier of the NIU at which the service is beingprovisioned. It should be unique among all the NIUs being handled by theCAC server and the provisioning server. One possibility is to use theMAC address of an NIU as its identifier. The interpretation andstructure of the fields Service Type, Packet Classifier Information andService Specific Options are described further herein.

NIU Interface Features

The following is a description of the messages that flow between the CACserver and the NIU. The messages enable the CAC server to inform the NIUabout the setting up, tearing down and modification of connections andprovisioned services, and help it to update the filtering (i.e. packetclassification) and ingress traffic policing parameters. An assumptionhere is that the CAC server merely informs the NIU about the trafficcharacteristics of a new connection being established; the NIU locallycarries out the token bucket and buffer size computations.

The messages involved in the interaction between the CAC server and theNIU include Setup Message, Request-Confirmed Message, Request-DeniedMessage, Teardown Message, Modify-Parameters Message, Get-ParametersMessage and Conn-Parameters Message.

The Setup message is used to inform an NIU about the establishment of anew connection or a provisioned service. When a new connection is beingestablished between a subscriber application that accesses the AccessNetwork through a given NIU and some remote end-point, or when a newprovisioned service is being established for subscriber devicesconnected to the NIU, the CAC server (after receiving a resource requestfrom the concerned call agent or provisioning server and determiningthat the Access Network has adequate resources to handle the connection)sends a Setup message to the NIU. The Setup message has the high-levelstructure shown in FIG. 39 and includes the following fields:MessageType 1404, MessageSequence Number 1406, Connection/ProvisionedService ID 1408, ServiceType 1410, TrafficDescriptor 1412, PacketClassifier Information 1414 and Service Specific Options 1416.

The structure of the Setup message identifies the information it needsto carry. The field Message Type identifies this message as a Setupmessage. The Message Sequence Number field is used to identify copies ofthe same message in case multiple copies of the same message arereceived by the NIU. This could happen, for instance, if the NIU'sresponse to a Setup message is lost so that the CAC server, believingthat the original message may not have reached the NIU, retransmits it.However, when such retransmissions occur, the CAC server uses the sameMessage Sequence Number in the retransmitted message which enables theNIU to identify it as a copy of the original message (in case thatmessage was received by the NIU.)

The Connection/Provisioned Service Identifier provides an ID associatedwith the connection or provisioned service. This can be a concatenationof the call agent ID and the connection ID provided by the call agent.This identifier is assigned to the connection/provisioned service by theCAC server at setup time and used by it and the NIU to refer to theconnection/provisioned service throughout its life.

The next high-level field is Service Type. This field identifies theservice associated with the connection/provisioned service. The servicein this context refers to the kind of processing a packet undergoes atthe NIU. If the service type is 0, it indicates the default service,which involves attaching an Access Network label to the packet with theQoS field filled in accordance with the QoS class associated with thepacket and recomputation of its Ethernet check-sum. (Typically, allswitched connections, which are set up through some interaction betweena call agent and the CAC server, use the default service type.) Allservices requiring special handling of packets (e.g. L2TP, Ethernet overIP, VLAN based VPN services) have a distinct Service Type associatedwith them.

The Traffic Descriptor field comes next. This field consists of foursubfields as shown in FIG. 40A. The traffic descriptor field includessubfields for sustained rate 1418, maximum burst-size 1420, maximumpacket size 1422 and QoS class 1424. The subfield Sustained Rate refersto the bit rate at which the corresponding connection or provisionedservice can transmit data in a sustained manner. The Maximum Burst-Sizesubfield refers to the maximum burst length for which theconnection/provisioned service can deliver data to the Access Network atline rate. The parameters, Sustained Rate and Maximum Burst-Size, areused by the NIU to setup a token bucket based policing scheme for theconnection/provisioned service. The Maximum Packet Size places arestriction on the size of packets the connection/provisioned servicecan generate. Finally, the QoS Class refers to the priority classassociated with the connection.

The next high-level field is the Packet Classifier field. Theinformation contained in this field enables the NIU to identify packetsthat belong to the connection/provisioned service being established. Fora simple connection, the packet classifier could be as simple as thesource IP address and port ID. However, in the case of a provisionedservice, packets originating from several designated devices may have tobe identified as belonging to the same service. Future services andapplications may require even greater flexibility in defining thecharacteristics to be used in packet classification. Consequently, aflexible structure has been defined for the Packet Classifier field.FIG. 40B shows this structure which includes three fixed subfields (withfixed lengths), followed by a variable number of “Entry” fields. ThePacket Classifier field begins with the “Number of Entries” subfield1426, which indicates how many Entry fields have been included in it.The next (fixed) subfield is the Source/Destination subfield 1428. Itindicates if each Entry field contains source address(es) or destinationaddress(es) or both. If the value contained in this field is 1, it meansthe entry fields contain source addresses; if it is 2, it means that theentry fields contain destination addresses; and if it is 3, then theentry fields contain source and destination addresses. The third fixedsubfield is the MAC/IP Address subfield 1430. If the value contained inthis field is 1, it means that the entry fields contain MAC addresses;if it is 2, it means that entry fields contain IP address-Port ID pairs;and if it is 3, it means that the entry fields contain both MACaddresses and IP address-Port ID pairs. Thus, the Packet Classifierfield enables the NIU to identify packets belonging to a givenconnection or service on the basis of source/destination MAC addresses,IP address—Port ID pairs or a combination thereof. It also allowswildcards, which match with any value contained in the correspondingfield.

Table 17 lists all the possible combinations of values contained in theSource/Destination and MAC/IP address subfields and the correspondingcontents of the entry subfields. Note that there are as many of theseentry subfields as the value specified in the Number of Entriessubfield.

TABLE 17 Relationship between Source/Destination, MAC/IP Address fieldsand Entry fields Source/ MAC/IP Destination Address Contents of EntrySubfields 1 1 Source MAC address 1 2 Source IP address - Port ID 1 3Source MAC address, Source IP address - Port ID 2 1 Destination MACaddress 2 2 Destination IP address - Port ID 2 3 Destination MACaddress, Destination IP address - Port ID 3 1 Source MAC, DestinationMAC address 3 2 Source IP address - Port ID, Destination IP address -Port ID 3 3 Source MAC address, Source IP address - Port ID, DestinationMAC address, Destination IP address - Port ID

It is clear from Table 17 that it is not just the number of entries inthe Packet Classifier field that is variable; the size of each entryalso varies depending on the contents of the Source/Destination andMAC/IP address fields.

The last high-level field of the Setup message is the Service SpecificOptions field. The structure of the Service Specific Options field is asshown in FIG. 40C.

The Service Specific Options field begins with a “Number of Options”subfield 1434. The value contained in this field indicates how manyOption entries 1436, . . . , 1440 follow. Each Option entry has the“Type-Length-Value” structure 1442, 1444, 1446. The significance ofOption Type depends on the Service Type defined earlier. For instance,if the Service Type indicates a VPN service based on VLAN tagging, thenOption Type 1 could mean that the contents of the corresponding OptionValue field indicate the VLAN tag to be used. On the other hand, forsome other service type, Option Type 1 could possibly mean somethingentirely different.

An NTU can respond to a Setup message with either a Request-Confirmed ora Request-Denied message. Both acknowledge receipt of the correspondingSetup message to the CAC server. In addition, the Request-Confirmedmessage informs the CAC server that the NIU is going ahead withallocating its own resources to the connection (or provisioned serviceas the case may be), whereas the Request-Denied message tells the CACserver that the connection/provisioned service cannot be established.Both messages have identical formats as shown in FIG. 41; they differonly in the Message Type field 1452, which tells whether it is aRequest-Confirmed or Request-Denied message. The Message-Number field1454 contains the value stored in the corresponding field of the Setupmessage in response to which the present Request-Confirmed orRequest-Denied message is being sent. This helps the CAC server torelate the response to the correct request. A Connection/ProvisionedService Identifier field 1456 is also included.

During connection teardown, the call agent informs the CAC server thatthe connection is being torn down. (In the case of a provisionedservice, the teardown request would come from the Provisioning Server.)The CAC server, after releasing the network resources allocated to theconnection/provisioned service, sends a Teardown message to theconcerned NIU. The NIU responds to the CAC server with aRequest-Confirmed message and releases its local resources. The Teardownmessage can include a “wildcard” for the connection identifierparameter. In this case, the CAC server is requesting the NIU to teardown all of the connections/provisioned services it has established. TheNIU then releases resources allocated to all connections/provisionedservices and sends a Request-Confirmed message to the CAC server. TheTeardown message has a structure similar to that of Request-Confirmedand Request-Denied messages. The message type field identifies the typeof message being sent.

The Modify-Parameters message (FIG. 42) is used by the CAC server torequest the NIU to modify the parameters associated with a connection ora provisioned service. Modification of parameters in this case involveschanging the traffic descriptor, packet classifier or service specificoptions field for a connection or a provisioned service. Such a changecould be occasioned by a need to change the bit rate or QoS classassociated with a connection or a provisioned service (impact on thetraffic descriptor field), or adding or deleting end-user devices usinga given provisioned service (impact on the packet classifier field), orchanging a specific service option being used by a provisioned service(impact on the service specific options field.) The Modify-Parametersmessage has been designed to enable the CAC server to handle all ofthese possibilities. The Modify-Parameters message includes fields:MessageType 1460, Message Number 1462, Connection/Provisioned Service ID1464, Modification Type 1466, Modification Details 1468.

The Message Type field 1460 identifies this message as aModify-Parameters message, whereas the contents of the Message Numberand Connection/Provisioned Service ID fields have the same meaning asthe corresponding fields in the Setup message. The field ModificationType 1466 specifies the kind of change the CAC server wishes to make tothe connection or provisioned service identified in theConnection/Provisioned Service ID field 1464. Table 18 gives therelationship between the contents of the Modification Type field and thecorresponding parameter modification being sought.

TABLE 18 Relationship between the Value of the Modification Type Fieldand the Corresponding Action Modification Type Action 1 Add one or moreentries to packet classifier 2 Delete one or more entries from packetclassifier 3 Change traffic descriptor 4 Add or change one or moreservice options 5 Delete one or more service options

The contents of the Modification Details field depend on the actionbeing sought by the CAC server (and specified by the value of theModification Type field.) If the value of Modification Type is 1 or 2(i.e. adding or deleting packet classifier entries), the ModificationDetails field appears as shown in FIG. 40B, with the number of entriessubfield indicating the number of packet classifier entries being addedor deleted. If the value of Modification Type is 3 (i.e. when thetraffic descriptor is being changed), the Modification Details field hasa structure as shown in FIG. 40A. This field carries the values of thenew traffic descriptor parameters. Even if the value of a parameter isnot being changed, the corresponding subfield in the ModificationDetails field will be filled with its current value (which is being leftunchanged.) If the value of the Modification Type field is 4 (adding orchanging one or more service options) or 5 (deleting one or more serviceoptions), the structure of the Modification Details fields is as shownin FIG. 40C, with the number of options subfield carrying the number ofoptions being added or changed (in case Modification Type is 4), or thenumber of options being deleted (in case Modification Type is 5.)

Adding and changing service options is covered under the samemodification type as the preceding discussion shows. If an optionincluded in the Modification Details field (of a Modify-Parametersmessage) has not already been set up for the corresponding service, itis an “add” action. On the other hand, if an option included in theModification Details field has already been established (most likelywith a different value) for the corresponding service, the modificationaction is of “change” type.

Note that if the service type associated with a provisioned service isto be changed, one cannot use a Modify-Parameters message. This isbecause service options associated with a provisioned service dependupon its type so that changing the service type for an instance ofprovisioned service could lead to possible inconsistencies in the datastored at the NIU. If the service type associated with a service is tobe changed, the (old) provisioned service needs to be torn down first,followed by the establishment of a new service with the desired servicetype. The messages to be used in this case would be Teardown and Setupmessages.

Besides the types of messages described above, which are needed duringconnection setup and teardown phases and for changing connectionparameters, the CAC server can send a Get-Parameters message to the NIUto request it to send the parameters associated with a connection. TheGet-Parameters message also has a structure similar to that shown inFIG. 41.

When an NIU receives a Get-Parameters message, it inspects its localcache to see if the Connection/Provisioned Service Identifier field inthe message matches with any of the connection identifiers that it hasset up. If a match is found, the NIU responds with a Conn-Parametersmessage carrying the parameters associated with the connection. If nomatch is found, the NIU responds with a Conn-Parameters messageindicating that the connection identifier was invalid (i.e. with all ofthe relevant fields set to 0). In either case, the Conn-Parametersmessage uses the value contained in the Message Number field of theGet-Parameters message to help the CAC server relate the response (theConn-Parameters message) to the correct request. The CAC server can senda Get-Parameters message to an NIU with the connection identifierparameter set to a wildcard. In this case, the message indicates arequest for parameters associated with all connections established atthe NIU. The NIU then responds with a Conn-Parameters message carryingthe parameters associated with all the connections established at theNIU. To allow for the desired flexibility in this message, it has thestructure shown in FIG. 43 and includes fields: Message Type 1472,Message Number 1474, Total Number of Connections 1476, Number ofConnection Parameter Sets In Message (M), 1478, Connection ParameterSets 1, . . . , M 1480. A Connection Parameter Set includes subfields:Connection/Provisioned Services ID 1482, Service Type 1484, TrafficDescriptor 1486, Packet Classifier 1488, Service Specific Options 1490.

The message format shown in FIG. 43 provides the needed flexibility toallow the NIU to respond to different versions of the Get-Parametersmessage and also to be able to provide the various pieces of informationassociated with a connection or a provisioned service that are stored inits local memory. When the Get-Parameters message asks for theparameters of a specific connection identified by its ID, if the NIU hasa connection with that identifier, it sends a Conn-Parameters messagewith the field “Number of Conn. Parameter Sets in Message” equal to 1,followed by the parameters associated with that connection. If the NIUdoes not have a connection with the specified identifier, it respondswith a Conn-Parameters message where the “Number of Conn. Parameter Setsin Message” field is set to 1, followed by the Connection Parametersfield in which the Connection ID is the same as what was specified inthe Get-Parameters message, but the rest of the fields are all set to 0.Finally, if the Get-Parameters message uses a wildcard in the ConnectionIdentifier field, the “Number of Connection Parameter Sets in Message”field in the Conn-Parameters response is set equal to the number ofconnections that have been established at the NTU, followed by that manysets of connection parameters. The field “Total Number of Connections”in all of these cases is set equal to the number ofconnections/provisioned service instances established at the NIU. Thestructure of the connection parameter subfields and their contents aresimilar to those of the corresponding fields in a Setup message.

CAC Server Internal Features

The QoS management features that are internal to the CAC server are nowdescribed. These features define what kind of algorithms and datarepresentation and processing capabilities are used at the CAC server toenable it to carry out its primary task of ensuring that the connectionsestablished over the Access Network receive the QoS that was promised tothem.

When a Resource_Request message is received by the CAC server, it has tosee if the critical segments of the Access Network that are likely tobecome bottlenecks have adequate bandwidth to support the connection atits desired QoS. Thus the CAC server needs some means to identify thecritical segments and keep track of their utilization levels. Thetree-and-branch topology of the Access Network and the fact that as onetraverses the network in the upstream direction the link bandwidthcannot decrease makes it easy to identify the critical segments whoseutilization needs to be considered when allowing or disallowing aconnection request.

A segment is a portion of a cable that connects a network element to itsnext upstream neighbor. Because of the constraints on topology and linkspeeds described above, a critical segment is defined as that portionwhich brings upstream traffic to an element at a speed which is lowerthan the speed at which the traffic is going to be carried beyond thatelement.

The critical segments are a function of topology and can be identifiedby processing the topological data that is available at the Tag/Topologyserver of the Access Network.

An exemplary topology is shown in FIG. 44. The elements include head endrouter 1200, DSs 1202, SASs 1204 and NIU 1206. Segments A, B, C arehigher speed (1 Gbps) than segments D, E, F, G, H, I, J, K, L, M (100Mbps). It can be seen that segments A, D, H, K are critical segmentswhereas the remaining segments are not.

CAC Server Data Requirements

The CAC server maintains four sets of data. They are: NIU Data, EndUser—NIU Mappings, Resource Utilization Data, and Connection Data.

The NIU data identifies for each NIU the critical segments through whichdata injected into the Access Network by that NIU would traverse. Thisdata is of the form shown in Table 19:

TABLE 19 Structure of NIU Data NIU₁ ( Segment_(1,1) Segment_(1,2)  .Segment_(1,m) NIU₂ ( Segment_(2,1) Segment_(2,2)  . Segment_(2,n)

In Table 19 above, it is assumed that Segment_(1,1), . . . ,Segment_(1,m) are the critical segments through which data entering theAccess Network via NIU₁ would pass. Thus, for the NIU 1206 shown in FIG.44, the NIU data identifies segments A and D as the critical segmentsassociated with that NIU. The NIU data can easily be gleaned from thetopological data received from the Tag/Topology server. This data can beset up at the time of system set up and refreshed periodically.

End User—NIU mappings are similar to the ARP caches maintained by edgerouters and are maintained by the CAC server in a similar manner. Thesemappings contain the association between end user IP addresses and theidentifiers of the corresponding NIU through which data destined forthat end user needs to pass. Since these associations need to be learnedin the same way ARP caches are built, the CAC server implements anARP-like protocol in order to learn these mappings as described herein.

Resource utilization data stores the utilization state for each of thecritical segments. The parameters needed to define the utilization stateof a critical segment depend on the connection admission controlalgorithm used to decide whether a connection request is to be granted.In a scenario, the connection admission control algorithm accepts ordenies a connection request on the basis of the total bandwidthutilization due to the top three QoS classes to be supported on theAccess Network. In this case, the utilization state of a criticalsegment is the three-tuple (U₁, U₂, U₃) where the numbers U₁, U₂, U₃respectively denote the total bandwidth utilization due to the three QoSclasses on that critical segment.

Connection data represents the information stored by the CAC server foreach of the connections/provisioned services set up on the portion ofthe Access Network being controlled by the CAC server. This informationenables the CAC server to respond to call agent (or provisioning server)messages involving these connections and identify the resources beingused by each of them so that when one of them is terminated, the CACserver can release the resources that were set aside for that connectionand update the utilization state of the critical segments involved inthat connection. For each connection, the connection data maintained inthe CAC server includes the following fields: call agent/provisioningserver ID, connection/provisioned service ID, connection state, servicetype, NTU ID, critical segments list, original traffic descriptor,derived traffic descriptor, packet classifier information and servicespecific options.

In the connection data, the meanings of the fields callagent/provisioning server ID, and connection/provisioned service ID areclear from the above description of the Resource_Request and othermessages received from the call agent/provisioning server. The meaningsof the fields NIU ID and critical segment list are also clear. Theyrespectively refer to the NIU through which the connection passes andthe list of the critical segments traversed by the connection. The fieldconnection state refers to the state of the connection. This field cantake one of three values: NULL, RESERVED and COMMITTED. It is NULL whenan entry for the connection is created but resources (on its criticalsegments) have not been reserved by the CAC server for the use of thisconnection. When the CAC server reserves resources for the connection onits critical segments and updates the utilization state of thesesegments, the connection state is changed to RESERVED. When the CACserver receives a Resource_Commit message from the callagent/provisioning server and responds to it with a Commit_Confirmmessage, it changes the state of the connection to COMMITTED.

The meanings of the fields, Service Type, Packet Classifier Info. andService Specific Options, are the same as the meanings of thecorresponding fields defined earlier as part of the definition of theSetup message sent by the CAC server to the NIU when it wishes toestablish a connection or a provisioned service. The structure of thesefields is identical to that of their counterparts in the Setup message.The remaining fields, Original Traffic Descriptor and Derived TrafficDescriptor, are now described.

The Original Traffic Descriptor field has five subfields—Sustained Rate,Peak Rate, Maximum Burst Size, Maximum Packet Size and DelayParameter—which store the values of the corresponding parametersassociated with a connection or provisioned service. The CAC Serverreceives these values from the Call Agents or Provisioning Servers viathe Resource_Request and other messages and uses these values whileinteracting with these agents. The Derived Traffic Descriptor field hasfour subfields—Sustained Rate, Maximum Burst Size, Maximum Packet Sizeand QoS Class. The Sustained Rate subfield of the Derived TrafficDescriptor field represents the effective bandwidth associated with thatconnection or provisioned service. The QoS Class subfield represents theQoS class accorded to the connection/provisioned service by the CACserver. The Maximum Burst Size and Maximum Packet Size subfields havethe same interpretation as the corresponding subfields of the OriginalTraffic Descriptor. The CAC Server determines the effective bandwidthand QoS Class associated with a connection/provisioned service asfunctions of the various subfields of the Original Traffic Descriptor,and uses the Derived Traffic Descriptor in its messages to the NIU. TheOriginal Traffic Descriptor remains hidden from the NIU.

CAC Server Algorithms

The algorithms that are used at the CAC server are described in relationto the tasks that are performed by these algorithms.

Identification of Critical Segments

This is a basic algorithm that is used to identify critical segmentsfrom the raw topology data that the CAC server receives from theTag/Topology server. The raw topology data received from theTag/Topology server contains a list of all parent-child pairs and thespeed of the link connecting the parent to the child. In thisterminology, if two devices are immediate neighbors of one another, theupstream device is considered the parent, and the downstream device itschild. Once the critical segments and their associated link speeds areidentified, the CAC server can build the resource utilization data forthese segments.

Construction of NIU Data

For each NIU, this algorithm identifies the critical segments on thepath between the NIU and the head-end. This algorithm has much in commonwith the algorithm for identification of critical segments so that bothof them can be combined.

Algorithm for Maintaining End-User—NIU Mappings

As described above, the CAC server maintains mappings that are similarin nature to the IP Address—MAC Address mappings maintained in an ARPcache. The CAC server uses an algorithm to maintain these mappings in acache and to obtain new ones that are missing in the cache. If a mappinghas not been used for a certain period of time, it will be deleted fromthe cache to prevent old, out-of-date mappings from misdirectingconnections.

Computation of Effective Bandwidth

This is one of the key algorithms to be implemented at the CAC server.When a connection request is received by the CAC server, the latter,using the appropriate mappings, first determines the NIU through whichthe connection would pass and the critical segments on its path. Next,using the original traffic descriptor associated with the connectionrequest, the CAC server invokes this algorithm to calculate theeffective bandwidth associated with this connection. At the same time,using the delay parameter part of the traffic descriptor, the CAC serveridentifies the QoS class to be assigned to the connection. The effectivebandwidth computations take into account the sustained throughput rateand the peak rate and the maximum burst size for the connection. Theeffective bandwidth of a connection lies between the sustainedthroughput rate and the peak rate. For a CBR connection, the effectivebandwidth is the same as the (constant) bit-rate associated with thatconnection.

The CAC Server constructs the Derived Traffic Descriptor for aconnection after determining its effective bandwidth and QoS Class. Asdescribed earlier, the Sustained Rate parameter of a connection'sDerived Traffic Descriptor is the same as its effective bandwidth. Atthe NIU, the shaping parameters associated with the connection, namelythe token bucket rate and token bucket size, are computed using thesustained throughput rate and maximum burst size parameters of theconnection's derived traffic descriptor. In an embodiment, the SustainedRate parameter of a connection's Original Traffic Descriptor is used asits effective bandwidth. This eliminates the need for complex algorithmsthat are typically needed for effective bandwidth computation. Also,with this definition, effective bandwidths become additive, which leadsto significant simplification of the admissible region. Another falloutof this simplification is that the Sustained Rate parameters of both theOriginal and Derived Traffic Descriptors are identical.

Connection Admission Control Algorithm

The connection admission control algorithm of the CAC server is used fordetermining whether a connection request can be granted or denied basedon the current utilization levels of the critical segments of the AccessNetwork. The connection admission control algorithm maintains an“admissible region” for each critical segment. The admissible region fora critical segment can be represented by a region in a three dimensionalspace where each dimension represents bandwidth utilization on thatcritical segment due to one of the three top QoS classes. In thisrepresentation of the admissible region, the effective bandwidth of aconnection is its sustained throughput rate. After the CAC server hasidentified the critical segments associated with a connection and itseffective bandwidth, it uses the latter in conjunction with the existingutilization levels for the top three QoS classes on each of the criticalsegments to see if admitting the connection would lead to utilizationlevels outside of the admissible region on any of the critical segments.If the admissible region is violated in this manner on any of aconnection's critical regions, the connection request is denied.Otherwise, the connection request is granted.

Algorithm to Maintain Utilization Data

This algorithm updates the utilization data for the critical segments inthe Access Network whenever a connection is established or torn down.The term utilization is used in a rather general sense here, and,depending on the effective bandwidth computation being used, may or maynot represent true utilization. If sustained throughput rate is used asthe effective bandwidth of a connection, the utilization level oncritical segment due a given QoS class represents the true bandwidthutilization due to that class on that segment.

CAC Server Signaling Features

The CAC server communicates with three sets of entities: call agents,other servers and network elements. The signaling features implementedat the CAC server enable it to communicate with these entities.

Communication with external entities such as call agents involvestraffic flow over the service provider's network which isnon-proprietary e.g., standard protocols such as TCP or UDP over IP.Thus, the CAC server implements these protocol stacks to support actualsignaling that takes place between it and the call agents. The (higherlevel) signaling protocol is selected such that it is supported by thecall agents interacting with the CAC server. The resource reservationprotocol described above is intended to identify the requirements forthe messages that need to be exchanged between the call agents and theCAC server for QoS management purposes. The actual protocol used dependsupon what is supported by the call agents.

Communication between the CAC server and other servers also takes placevia the router so that the basic network and transport layer protocolsto be used for this communication can be standard, namely TCP or UDPover IP. The actual signaling protocol that rides on top of thisprotocol stack can be proprietary.

Communications between the CAC server and network elements also takeplace via the router so that the TCP or UDP over IP protocol stack canbe used for transport.

Associating End Devices with NIUs for Bandwidth Provisioning by the CACServer

In the Access Network, the NIU is unaware of the user devices hangingoff its Home-LAN. Hence, when any device inside the house wishes toinitiate a session for the first time, the CAC server is also unaware ofthe NIU that serves the device. However, this association is importantfor determining the state of the network for connection admission,provisioning the relevant NIU with QoS and Policing parameters and otheractions.

A method of learning the NIU<->User Device association at the CAC serveris now described. When setting up/tearing down a call, the CAC servermay be aware of the IP Address of the end-device. If the CAC server isnot aware of the NIU that serves this end point, the following sequenceof events takes place:

-   -   The CAC server sends a DISCOVER_NIU message downstream. This        message has the End Device IP Address as Destination IP Address        of the IP Packet.    -   The Router constructs a Layer-2 frame. The Destination MAC        Address is the End Device MAC Address.    -   When this packet enters the Access Network, the ODS looks at the        source IP Address, identifies this message as a control message        and inserts the appropriate control bits and RID corresponding        to the end point.    -   The packet is routed through the Access Network (based on the        RID) and reaches the NIU.    -   The NIU recognizes the control bits and processes the packet        (even though the Destination MAC and IP Address belong to the        End Device).    -   The frame is parsed and the payload says it is a DISCOVER_NIU        message.    -   The NIU responds with an NIU_IDENTIFY message to the CAC server.        This message is addressed directly to the CAC server.    -   The CAC server adds an entry to its table of End Device IP<_>NIU        IP for future use. From then on the CAC server can directly        address the NIU for connection admission control related to that        end point.

A second embodiment of a network configuration is shown in FIG. 45,wherein digital transmissions associated with the intelligent networkdevices are carried over separate optical fibers at rates of about 10Gbps or higher. This approach has the tremendous advantage of providingvery high bandwidth (e.g., 100 Mbps) to each customer.

As shown in the configuration of FIG. 45, a separate optical fiber 111carries digital transmissions between the intelligent headend 110 andthe intelligent ONU 112. This configuration also uses optical fiber 127between the ONU assembly 312 and trunk amplifier assemblies 314A. Thetrunk amplifier assemblies 314A each include conventional trunkamplifier 14 and an intelligent optical node 514 also referred to as amini Fiber Node (mFN) described further below. Because of the use ofoptical fiber in the feeder, the bandwidths can be increased in both thefeeder and the distribution. Other embodiments can be deployed which useall fiber cable in the feeder/distribution.

The mFN is shown in FIG. 46 and provides Gigabit Ethernet and legacyservices to 100 homes, relays legacy services to 3 additional ports, andfacilitates fiber-optic transmission between the headend and successivemFNs. In addition to modem, DWDM, and other RF/photonic functions, themFN subsumes the function of legacy Video, DOCSIS, and Telephony RFtransmission normally performed by the Distribution Amplifier (DA) foundin conventional HFC systems. The mFN provides Wavelength A dd DropMultiplexing (WADM) 1220 in both upstream and downstream directions. Atthe modem subsystem, Ethernet traffic from optical transceivers iscombined/separated from legacy HFC RF signals traveling to/from thesubscriber. In addition, MAC and QoS operations are performed by an ASICwithin the mFN.

The mFN includes 4 external optical connections 1217 and 5 external RFconnections. For simplicity, only one of the 4 downstream RF paths 1219is shown. Optical data flows through WADM structures 1220 in bothdirections in order to facilitate the adding/dropping of GigabitEthernet wavelengths. Optical data signals are detected and passedthrough a GbE circuit 1224 to a media independent interface (MII)circuit 1222 and to an RF modem chip-set 1216 for up-conversion andcombination with legacy RF at the triplexing/coupling corporate-feedstructure 1214. RF data signals are demodulated and passed to the MII1222, where they are queued and passed to optical transmitters 1218.Downstream legacy RF is decoupled from distribution AC via two blockingcapacitors, where it is amplified/equalized and passed to thetriplexing/coupling corporate-feed structure 1214 for combination withGbE data traffic. AC power is fed to the local power supply 1226 forconversion and routing to bias circuitry.

Ancillary Legacy/DOCSIS Monitoring, Manageability, and ProvisioningCapability Afforded by the Access Network

A very powerful aspect of the Access Network of the present system isthat it affords many ancillary monitoring, management,auto-configuration, auto-provisioning, and fault recovery features foruse in supporting Legacy/DOCSIS parallel offerings to provideaddressability and adaptability heretofore unheard of in modem HFCsystems. All power level adjustment, slope equalization, andingress-control functions required by modem HFC plants are completelyautomated in the present system. This automation is primarilyfacilitated by the use of addressable attenuators, equalizers, andswitches for topology configuration, in conjunction with a comprehensivesuite of power monitoring (both RF and DC) and slope measurementcapabilities.

The system provides fault tolerance by virtue of its distributed-gainapproach. During a legacy system bootstrap operation, legacyamplification is activated only in select network elements in order tooptimize analog video performance with respect to noise and linearityconstraints. In concert with the activation of gain in select elements,all attenuators are adjusted to provide target RF power levels at everypoint in the cable plant. Afterward, the attenuators are adaptivelycontrolled as necessary to compensate for temperature variations inamplifiers and coaxial cable plant. In the event that an activatedamplifier fails, it can be bypassed, and an adjacent upstream amplifieris activated in its place to rapidly restore an acceptable quality ofanalog video to all customers downstream from the failure in question.However, those customers that are otherwise serviced by the failedamplifier will experience temporary degradation in signal quality untila technician is sent for repair work. The overall effect of the gainredistribution feature is to drive system availability arbitrarily closeto unity.

Slope equalization is initially set during the legacy bootstrapoperation and is also adaptively controlled in order to compensate fordrift that can occur from temperature variations of the legacyamplifiers. Return-path equalization for ingress control during DOCSISupstream transmission is initially set during the bootstrap operationusing cable loss estimates from within the downstream spectrum, andunless an override option is exercised via CMTS service requests to theEMS, the return-path equalization is adaptively controlled commensuratewith downstream adaptations. In addition to the override optionassociated with return-path equalization settings, the EMS can takecomplete control of any and all addressable features of the legacy plantportion of the present system. This option is provided primarily fortroubleshooting purposes, and typically is not be used under normaloperation conditions. Finally, Auto-Provisioning is made possiblethrough the addition of port-deactivation switches at each drop.

During system boot/bypass, all ports are initially active and hard-wirednominal or stored gain/attenuation settings are used for all activecomponents in the legacy path. FLASH memory is also used to storesettings for rapid power hit recovery. A functional block diagram of thelegacy RF portion was shown above in FIG. 18. Legacy loss equalizeradjustments are based on explicit multi-frequency slope measurements,and legacy gain or attenuator settings are based on multi-channel,analog video average power measurements. Through-path amplifieractivation decisions are driven by triple-C performance criteria.Activation of any given amplifier stage is determined from themeasurement of input power at the following SAS, and is chosen so as tomeet the minimally acceptable CNR criterion.

A state machine for legacy RF initialization is shown in FIG. 47. Uponpower up 1502, the first step is to measure, and then transmit to theparent, the legacy input power level at 1504. This input power data isused by the parent during its through path gain activation decisionprocess. The next step at 1506 in the legacy initialization andauto-configuration process involves a restoration of settings from FLASHmemory for possible rapid recovery from disruptions such as power hits.After the FLASH-based parameter restoration has taken place, the channelstatus monitoring state is entered at 1508, where a comparison of newpower and slope data to previous measurement results from FLASH is usedto determine whether an adaptation cycle is in order. If there has beena significant change in cable plant characteristics since the lastadjustment, a legacy-adjust hold is sent to the child, and another cycleof calibrations is performed.

The downstream calibration process involves three basic steps. The firststep 1516 involves determining whether the through path gain is requiredbased on input power telemetry data from the downstream child. Thesecond step involves adjustment of attenuator settings 1518 in order toprovide 20 dBmV at each of the drop ports. The last of the three stepsinvolves the adjustment of a voltage-controlled bridged-T equalizer at1520 in order to compensate for the frequency dependent losscharacteristic of the coaxial line. After the three downstream legacyadjustments have been completed, the results are written to FLASH memoryat 1512, a legacy acknowledgment (Legacy=1) is sent to the child via theOut-Of-Band (OOB) telemetry channel, and the channel-status-monitoringmode 1508 is reentered.

Upstream return-path adjustments are initiated by the EMS, and requirethat data from all of the elements in the trunk and branch topology besent to the EMS prior to onset of the adjustment process. EMS initialreturn-path attenuation settings will be extrapolated from loss datataken during the downstream adjustment phase. Afterward, CMTS initiatedservice requests via the EMS to fine tune attenuator settings will beaccommodated. Otherwise, settings will be adapted in concert withdownstream adaptations. After completion of legacy bootstrap,non-subscribing ports will be deactivated.

The gain-redistribution feature of the present system provides a verypowerful way to adapt to amplifier-failure events, and therefore,facilitate fault tolerance in the legacy channel. FIGS. 48A-48C show anexemplary segment of the Access Network that includes a series ofnetwork elements 1550A, 1550B, 1550C, 1550D, 1550E. Initial amplifieractivation choices are driven by the triple-C requirements of thecable-TV industry for analog video quality as indicated by themeasurements shown in FIG. 48A for each element. Afterward, theadaptation process is triggered in the event of an otherwise unexplaineddrop in legacy input power at a given element, e.g., element 1550B, asshown in FIG. 48B. In order to ensure adequate CNR performance, thesuspect amplifier is bypassed, and the previous upstream amplifier isactivated as shown in FIG. 48C. This approach is intuitively correctbecause the suspect amplifier would not have been originally activatedunless absolutely necessary in order to preserve CNR in the first place.Once the new amplifier activation has taken place, the legacy bootstrapautomatically ripples downstream as previously explained.

Auto-Configuration Capabilities and Initialization

The Access Network system includes automatic configuration, measurement,adjustment, bootstrapping, provisioning, Built In Self-Test (BIST), andFault Recovery mechanisms.

A quadrature nulling based slope equalization technique, combined withsub-ranging AGC capability, add analog adaptive channel equalizationcapability to the 16-QAM modem embodiment described above (FIG. 3).Further, when operated in conjunction with a companion modem, a BISTfeature includes full analog loop-back BERT capability that can verifyfull 100 Mb/s and 1 Gb/s functionality of each modem under test at allcarrier frequency options. When combined with fault isolation techniquesincorporated within the BIST procedure, an additional bypass switchfeature allows for circumventing network elements with failed modems,and therefore, rapidly restoring the Access Network topology. Carrierand Symbol synchronization are performed using traditional PLL and DLLtechniques respectively.

After a DHCP-based discovery process and dynamic address assignment isperformed, an array of element measurement/adjustment data andkeep-alive/heartbeat information is forwarded, via SNMP, to the EMS forstorage as objects in a family of Management Information Bases (MIBS).In addition to its use in tracking the general health of the AccessNetwork and legacy services of the present system, the MIBS are alsoused to perform additional adjustments for return-path equalization ofplant ingress in DOCSIS applications.

At any given element along the sequential ripple path from ODS to theend of the trunk and branch structure, the address assignment proceduremust be completed by each parent before children are allowed to do thesame. Therefore, even though Access Network PHY-Level and LegacyBootstrap operations of offspring will occur simultaneously withparental address assignment in order to expedite system bootstrap, allattempts by children to communicate with the NMS prior to a successful4-way parental handshake will be blocked.

System Bootstrap and MODEM Setup Procedure

The system initialization paradigm involves a ripple-fashionbootstrapping sequence, originating at each ODS and propagating along DStrunks, and in turn, along Tap branches as shown in FIG. 49 which showsa branch or segment 1558. Upon power-up or EMS Reset, BIST is performedbetween east and west modems of each element (parent 1560, child 1562and grandchild 1564) to confirm full analog loop-back with acceptableBER performance.

After completion of BIST, the next step in the bootstrap processinvolves an upstream handshake operation. Downstream transmissions arenot made until successful upstream handshake is complete. Upstream linkestablishment includes AGC and slope equalization, carrier recovery,frame recovery, and loop-back transmission to parent using acomplementary carrier frequency. Successful upstream loop-back enablesdownstream transmissions and invokes upstream link status monitoring.Repeated failed attempts at upstream link establishment, or loss ofupstream carrier SYNC, results in a BIST operation being triggered.Failure of BIST, or CPU, triggers bypass and manual servicing.

Downstream link establishment includes complementary transmission ateast port modems and default transmission on drop port modems(complementary transmission on all four DS ports). As in upstream linkestablishment, carrier and frame SYNC are followed by loop-back througheach child. East port modem link inactivity timeouts triggers BIST, butdrop modem link inactivity does not. Finally, FLASH memory is used tostore element configuration settings for possible rapid recovery afterdisruptions such as those caused by, e.g., power hits.

An upstream bootstrap state machine is shown in FIG. 50. Modem bootstrapis initiated from either power-up, loss of carrier, or EMS reset states1602. After termination of transmission at all ports, a BIST operationis performed 1604, which involves BER testing (BERT) of a full analogloop-back between east and west modems. The BERT is performed over theentire carrier frequency and data rate space in both directions in orderto ensure full upstream and downstream modem functionality.

If BIST fails, or the CPU fails, then modem bypass mode 1606 istriggered, wherein traffic flows through the device for regeneration atthe next modem location. As a consequence of the modem bypass, and ifthe CPU remains functional, legacy gain and slope is set based on inputpower level and upstream/downstream cable loss data stored in FLASHmemory. If the CPU is not functional, then legacy gain is bypassed andequalizer/attenuator settings will revert back to hard-wired nominalvalues.

Upon a successful BIST operation, the next step in the upstream bootoperation involves the range control of an Automatic-Gain Control (AGC)circuit. Initially, the most sensitive range setting is chosen, and theAGC control voltage is monitored 1608. If the control voltage is withinthe normal locking range, the most sensitive AGC range setting isappropriate, and carrier recovery can begin at 1614. However, an AGCcontrol voltage outside of the normal locking range may require either achange of AGC range, or a wait for signal return, or both. For example,when the AGC is already in the most sensitive mode (with gain) and thesignal power level remains below the AGC-lock limit, then nothing elsecan be done. In fact, the signal may not be present at all.

After an AGC lock condition is achieved, the next step in the processinvolves recovering carrier. In an attempt to possibly expedite rapidcarrier synchronization, previous settings stored in FLASH are used asan initial seed at 1612. If unsuccessful, the local oscillator is cycledthrough each of the carrier frequency possibilities at 1614, 1616, 1618,1622 in order to locate the parent's carrier. A correct carrierfrequency choice by the local oscillator will enable a PLL toautomatically lock onto the incoming signal, which in turn, will causethe Carrier SYNC (CS) flag to be set. On the other hand, failure torecover carrier will eventually result in another BIST operation at1604.

Beyond carrier recovery, slope equalization is performed using aQuadrature Nulling (QN) technique starting at 1620. The QN techniqueinvolves a four-way handshake, which is facilitated by the parentinitially sending only In-Phase Data. The QN technique involvesadaptively adjusting the slope equalizer until Q-Channel integrated datapower is at a local minimum. Beyond initial slope adjustment duringboot, periodic QN-based tweaking of the slope equalizer setting ispossible during the symbol synchronization period of the frame.

Once the slope equalizer adjustment is completed, I-Channel data islooped back to the parent on the complementary carrier frequency. Thisupstream transmission mode is sustained until Q-Channel data is receivedfrom the parent, which is indicative of successful parental AGC, CarrierSYNC, and slope-equalization operations. Upon Q-Channel reception fromparent, reciprocation with Q-Channel data loop-back will take place, tocomplete the four-way handshake. At this point since RF Loop Back (RFLB)is complete (i.e., I and Q data is present), an attempt at symbolsynchronization and frame recovery is possible. An automated DLLtechnique will slide the data in order to align for maximum eye opening,and hence minimum BER performance. Once the DLL self adjusts, and symbolsynchronization has taken place, framing can take place at 1636.Successful framing will cause the FS flag to be set, at which time awrite to FLASH at 1638 will take place in order to store all currentsettings for possible rapid recovery in the event of power loss or cablecut, for example.

After a write to FLASH, the steady-state condition involves continuousmonitoring of link status at 1642, including CS, FS, slope drift, etc.In the event that the coaxial slope characteristics begins to driftbeyond reasonable error bounds, a symbol-SYNC period QN procedure willtake place at 1640 until a return to acceptable limits is attained.

Once the upstream bootstrap has been completed (i.e., FS0=1), downstreambootstraps begin on the east port and each of the drop ports. Adownstream bootstrap state machine is shown in FIG. 51. The first stepat 1706 following the start of the process involves transmittingIn-Phase data on a complementary carrier frequency from the east port inorder to facilitate slope equalization at the receiving end. The firststep also involves the restoration of equalizer settings from FLASH inpreparation for possible rapid convergence during loop-back from thechild. The next step involves the same AGC range setting procedure as inthe upstream case, and requires a return carrier signal from thedownstream modem. As in the upstream case, once the AGC is in lock, itis possible to establish carrier synchronization. However, in thedownstream case, the correct carrier frequency is known a priori.Therefore, the local oscillator frequency is set to f (which is the samecarrier received during the upstream boot operation) in the case of theeast modem.

Once carrier recovery is achieved (CS1=1), QN-based slope equalizationcan be performed. Successful slope equalization will be conveyed to thechild by transmitting Q-Channel data as well as I-Channel data. When thechild eventually reciprocates with Q-Channel data, the frame recoveryprocess can begin at 1716 as was done in the upstream boot procedure.Successful frame synchronization (FS1=1) will be followed by anotherwrite to FLASH at 1726 in order to provide for possible bootacceleration during recovery from power hits, etc. Post boot coaxialcable slope drift will be corrected in exactly the same manner asdescribed in the upstream boot procedure.

MODEM Built In Self Test (BIST)

A BIST capability is included in the present system to facilitatetroubleshooting, fault localization, and bypass activation in the eventthat a given modem is malfunctioning. An internal RF coupling path isprovided in the network element (FIG. 10) to enable full analogloop-back capability. In the BIST mode, BER testing is performed in bothdirections, at both data rates, and at all four carrier frequencies. TheBIST operation involves the generation of a Pseudo-Random Bit Sequence(PRBS) in the CPU, which in turn, is loaded into the ASIC fortransmission through the cascade of modems under test. Once received,the data is checked for bit errors, and the process is repeated withseveral PRBS vectors, at each carrier frequency, data rate, anddirection setting.

MODEM Fault Detection and Bypass Recovery

The use of BIST capability in fault detection and recovery is shown inFIG. 52 which shows a segment or branch of parent, child, grandchilddevices 1750A, 1750B, 1750C, respectively. Each of the steps from brokenlink to restoration are shown, with the overarching principle being thateach network element makes an independent decision as to whether itshould place itself into modem bypass mode.

It will be apparent to those of ordinary skill in the art that methodsdisclosed herein may be embodied in a computer program product thatincludes a computer usable medium. For example, such a computer usablemedium can include a readable memory device, such as a hard drivedevice, a CD-ROM, a DVD-ROM, or a computer diskette, having computerreadable program code segments stored thereon. The computer readablemedium can also include a communications or transmission medium, such asa bus or a communications link, either optical, wired, or wireless,having program code segments carried thereon as digital or analog datasignals.

It will be further apparent that hose skilled in the art should readilyappreciate that the programs defined herein are deliverable in manyforms, including but not limited to a) information permanently stored onnon-writeable storage media such as ROM devices, b) informationalterably stored on writeable storage media such as floppy disks,magnetic tapes, CDs, RAM devices, and other magnetic and optical media,or c) information conveyed to a computer through communication media,for example using baseband signaling or broadband signaling techniques,as in an electronic network such as the Internet or telephone modemlines. The operations and methods may be implemented in a softwareexecutable by a processor or as a set of instructions embedded in acarrier wave. Alternatively, the operations and methods may be embodiedin whole or in part using hardware components, such as ApplicationSpecific Integrated Circuits (ASICs), state machines, controllers orother hardware components or devices, or a combination of hardware,software, and firmware components.

While the system and method disclosed herein have been particularlyshown and described with references to embodiments thereof, it will beunderstood by those skilled in the art that various changes in form anddetails may be made therein without departing from the scope of theinvention encompassed by the appended claims. Accordingly, the presentinvention is not intended to be limited except by the following claims.

What is claimed is:
 1. A method for exchanging communications networkdata comprising: receiving first Ethernet data via a first input port,converting the first Ethernet data into downstream data packets,switching a first portion of the downstream data packets to a firstcoaxial output port, converting the first portion of downstream datapackets into first radio frequency data, wherein the first radiofrequency data comprises Ethernet data formatted for radio frequencytransmission, transmitting the first radio frequency data at frequenciesabove 860 MHz from the first coaxial output port via coaxial cableplant, and controlling the switching using a processor, wherein thefirst radio frequency data is transmitted over the coaxial cable plantabove existing spectrum on the coaxial cable plant over point-to-pointdata links between network elements within a trunk/feeder system,wherein the trunk/feeder system comprises the network elements connectedserially therebetween by the coaxial cable plant and each networkelement in the trunk/feeder system connects to one of a plurality ofdistribution and drop systems with the coaxial cable plant.
 2. Themethod of claim 1, wherein the transmitting the first radio frequencydata at frequencies above 860 MHz comprises transmitting the first radiofrequency data in a frequency bandwidth above which is used for cabletelevision over the coaxial cable.
 3. The method of claim 1, whereintransmitting the first radio frequency data comprises transmitting thefirst radio frequency data using bandwidth that resides above standardupstream/downstream spectrum on the coaxial cable.
 4. The method ofclaim 1, wherein the method is performed by a network element, andwherein the network element is interconnected via a coaxial cablenetwork with a plurality of network elements.
 5. The method of claim 4,wherein the first radio frequency data is transmitted by the networkelement to another network element of the plurality of network elements,and wherein the network element and the another network element form apoint-to-point data link over the coaxial cable network.
 6. The methodof claim 1, further comprising: transmitting legacy video and data atfrequencies below 860 MHz via the coaxial cable.
 7. The method of claim1, wherein the switching comprises layer 2 switching and is performed inco-location with the first input port and the first coaxial output port.8. The method of claim 1, further comprising processing the firstportion of downstream data packets based on quality of service (QOS). 9.The method of claim 1, further comprising converting a second portion ofdownstream data packets into second radio frequency data andtransmitting the second radio frequency data at frequencies above 860MHz from a second coaxial output port.
 10. The method of claim 9,wherein the second radio frequency data is transmitted at frequenciesabove 1 GHz.
 11. The method of claim 1, wherein the first input port andthe first coaxial output port support bi-directional communications,comprising: receiving, at the first output port, third radio frequencydata at frequencies above 860 MHz, converting the third radio frequencydata into upstream data packets, switching a portion of the upstreamdata packets from the first output port to the first input port,converting the portion of the upstream data packets into second Ethernetdata, and transmitting the second Ethernet data from the first inputport.
 12. The method of claim 11, further comprising receiving the thirdradio frequency data at frequencies above 1 GHz.
 13. The method of claim1, wherein the first input port comprises at least one of a fiber port,an Ethernet port, and a coaxial port.
 14. A method for exchangingcommunications network data comprising: receiving first network data viaa first input port and second network data via a second input port,converting the first network data into downstream data packets,switching a first portion of the downstream data packets to a firstcoaxial output port, converting the first portion of downstream datapackets into first radio frequency data, transmitting, over a coaxialcable plant to a subscriber, the first radio frequency data atfrequencies above 860 MHz from the first coaxial output port and thesecond network data as legacy data and video at frequencies below 860MHz, and controlling the switching using a processor, wherein the firstradio frequency data is transmitted over the coaxial cable plant aboveexisting spectrum on the coaxial cable plant over point-to-point datalinks between network elements within a trunk/feeder system, wherein thetrunk/feeder system comprises the network elements connected seriallytherebetween by the coaxial cable plant and each network element in thetrunk/feeder system connects to one of a plurality of distribution anddrop systems with the coaxial cable plant.
 15. The method of claim 14,wherein the switching comprises layer 2 switching and is performed inco-location with the first input port and the first coaxial output port.16. The method of claim 14, further comprising processing the firstportion of downstream data packets based on quality of service (QOS).17. An access network, comprising: a plurality of network elements in athe trunk/feeder system and each of which uses a physical layertechnology that allows data connections to be carried over coax cabledistribution facilities from subscribers; and a cable television networkcomprising coaxial cable plant interconnecting the plurality of networkelements; wherein the plurality of network elements implementpoint-to-point data links between network elements over the cabletelevision network using bandwidth that resides above standardupstream/downstream spectrum on the cable television network; whereinsubscribers receive data from the point-to-point data links betweennetwork elements via the coaxial cable plant at the bandwidth thatresides above standard upstream/downstream spectrum; and wherein radiofrequency data forming the point-to-point data links is transmitted overthe coaxial cable plant above existing spectrum for legacy data andvideo on the coaxial cable plant, wherein the trunk/feeder systemcomprises the plurality of network elements connected seriallytherebetween by the coaxial cable plant and each network element in thetrunk/feeder system connects to one of a plurality of distribution anddrop systems with the coaxial cable plant.
 18. The access network ofclaim 17, wherein the point-to-point data links are transmitted atfrequencies on the coaxial cable network above 860 MHz.
 19. The accessnetwork of claim 17, wherein the plurality of network elements areconfigured to communicate legacy data and video at bandwidth in theupstream/downstream spectrum on the coaxial cable network.
 20. Theaccess network of claim 17, wherein each of the point-to-point datalinks are formed by adjacent network elements of the plurality ofnetwork elements, and each of the plurality of network elements areconfigured to switch and regenerate the point-to-point data links acrossupstream and downstream links to connect the subscribers to a headend.